Location: This posting is for an existing vacancy in Wellington-Altus's Calgary or Toronto office.

Our organization:

Founded in 2017, Wellington-Altus Private Wealth Inc. (Wellington-Altus) is Canada's top-rated* investment dealer and a subsidiary of Wellington-Altus Financial Inc., one of Canada's Top Growing Companies**. With more than $55 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors, and their high-net-worth clients.

- Investment Executive 2026 Brokerage Report Card. *
- Report on Business 2026 rankings.

The opportunity:

Reporting to the Associate Vice-President, Group Audit and Conduct, the Compliance Analyst, Group Audit, will conduct the Compliance Audit Review Program for the entirety of all Wellington-Altus Financial Inc. subsidiaries.

The role requires an analytical mindset with exceptional attention to detail, experience in the financial services industry, and familiarity with investment products and services; knowledge of CIRO/IIROC regulations and industry best practices is considered an asset.

Key responsibilities include:

Audits & Reporting

- Conduct comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
- Prepare audit reports in a timely manner following the completion of branch audits.
- Support the collection of data for compliance-related and/or regulatory requests.
- Prepare reports, as requested, for use by the Compliance department.

Client Relationship Management & Risk Mitigation

- Schedule interviews with advisors to ensure internal processes and regulatory requirements are adhered to.
- Fostering strong relationships with advisors during the branch audit process.
- Identifying trends or key risks/themes for training or recommendations for policy changes.

Cross-Functional Collaboration & Process Improvements





- Remaining informed of regulatory developments and changes to internal policies and procedures.
- Participate in other compliance and supervision-related projects and initiatives as assigned.
- Assist in implementing new processes or amending current ones to ensure regulatory requirements are met.Perform other duties as assigned.

The ideal candidate will possess:

- A bachelor's degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
- Completion of CSC or CPH preferred.
- Experience in the financial services industry.
- 2-3 years' financial services industry experience working in a high-growth environment.
- Proficiency with the MS Office (ie. Word, Excel, PowerPoint, Teams), and knowledge of advanced Excel functions (ie. VLOOKUP, pivot tables, etc.).
- Demonstrated analytical, organizational, and problem-solving skills.
- An ability to work independently with minimal supervision and collaboratively as part of a team.
- Robust organizational skills with the ability to proactively organize and manage a high volume of time-sensitive, highly detailed, and confidential information.
- An ability to build and maintain professional relationships (e.g., with advisors and other compliance staff).
- Excellent verbal and written communication skills.
- Strong attention to detail and ability to identify and elevate issues promptly.
- Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm.
- Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
- A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.

Compensation & Benefits:

Range $52,000 - $65,000 annually.

This range represents Wellington-Altus' expected range of compensation for this position. Actual compensation will vary and will be based on various factors, such as location, skills, experience, and qua

📌 Compliance Analyst, Group Audit (Calgary)
🏢 Wellington-Altus
📍 Calgary