Elevate your career in compliance with Wellington-Altus in Winnipeg, Toronto, Burlington, or Vancouver. This role focuses on regulatory adherence, document reviews, and supporting advisors in compliance matters.
As a Compliance Analyst reporting to the AVP, Compliance, you will provide essential compliance support for Wellington-Altus Private Counsel and Wellington-Altus USA. Your key responsibilities will include conducting regulatory reviews and collaborating with various departments to elevate compliance standards. This is an opportunity to deepen your understanding of compliance within a leading investment firm.
Key Responsibilities:
• Perform regulatory reviews on account documents
• Review suitability and advisor compensation issues
• Monitor higher-risk accounts and prepare reports
• Collaborate with Compliance and Audit teams
• Assist in the development of compliance programs
Requirements:
• Bachelor's degree in business, finance, or similar
• Expe...