Apply analytical skills and regulatory knowledge as a Compliance Audit Analyst with Wellington-Altus in Calgary or Toronto. Review branches and strengthen compliance reporting.Reporting to the Associate Vice-President, Group Audit and Conduct, this analyst conducts the Compliance Audit Review Program across Wellington-Altus Financial Inc. subsidiaries. The position requires financial services experience, investment product familiarity, and exceptional attention to detail.
Knowledge of CIRO or IIROC regulations is an asset.Key Responsibilities:Conduct comprehensive branch audits under regulatory requirements and internal policiesPrepare timely audit reports after branch reviewsCollect data for compliance and regulatory requestsIdentify risks and trends for training recommendationsSupport compliance projects and process improvementsRequirements:Bachelor's degree or diploma in business, finance, or accountingTwo to three years of financial services experienceAdvanced Excel skills, including VLOOKUP and pivot tablesAnalytical, organizational, and problem-solving abilitiesKnowledge of investment dealer products and business processesBring audit review, financial services, Excel, and regulatory skills to Wellington-Altus's Group Audit and Conduct team.