Support compliance systems and data analysis for Wellington-Altus in Calgary or Toronto. Monitor communications and strengthen regulatory oversight through accurate, actionable insights.
Reporting to the AVP, Supervision, the Compliance Analyst supports communications monitoring, trading supervision, and internal databases. This systems-focused position maintains tools, analyzes compliance data, and supports regulatory requirements and internal policies. It also contributes to risk assessments, audits, process improvements, and compliance initiatives.
Key Responsibilities:
- Maintain compliance systems, user access, updates, and enhanced functionalities
- Analyze compliance data, identify gaps, and present actionable insights
- Monitor email and social media for regulatory risks
- Support audits, documentation, findings, and corrective actions
- Validate requirements for compliance initiatives and system enhancements
Requirements:
- Two to five years of progressive experience preferred
- Experience with a CIRO Dealer Member or bank
- Knowledge of financial services, CIRO, and provincial regulators
- Data analysis, risk management, and Power BI proficiency
- Strong communication, organization, judgment, and problem-solving skills
Apply compliance systems expertise, regulatory knowledge, and analytical judgment supporting Wellington-Altus teams in Calgary or Toronto.
Compliance Systems Analyst in Toronto employer: Wellington-Altus
Wellington-Altus Financial Inc. is an exceptional employer, offering a dynamic work environment in either Winnipeg or Toronto, where innovation and collaboration thrive. With a strong commitment to employee growth, competitive compensation, and unique benefits, including health and life insurance, the company fosters a culture of equity and diversity, ensuring that all voices are heard and valued. Join a top-rated investment dealer in Canada, where your contributions directly impact the success of entrepreneurial advisors and high-net-worth clients.
