Posting Details

- Posted on November 5, 2026

Locations

Showing 1 location

Toronto, ON M5H1J9, CAN

- On-site
- Corporate Services
- Full-Time
- Requisition #: COMPL002083

Description

Compliance Analyst, Group Audit & Conduct

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.
- Strong 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 skilled relationships (e.g., with advisors and other compliance staff).
- Excellent verbal and written communication skills.
- Strong attention to detail and ability to identify and escape 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 vi

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