Job Description
Drive compliance excellence with Wellington-Altus as a Compliance Analyst in Winnipeg, Toronto, Burlington, or Vancouver. Ensure adherence to regulatory requirements while supporting high-net-worth clients through your expertise.
As a key member reporting to the AVP, Compliance, you will provide essential compliance support to Wellington-Altus Private Counsel and its U.S. counterpart. This role requires familiarity with regulatory frameworks for both provincially regulated and SEC investment advisers, focusing on compliance programs, monitoring, and reviews. Your expertise in wealth management will be crucial in maintaining robust compliance processes across the organization.
Key Responsibilities:
• Perform regulatory reviews on account opening documents
• Monitor higher risk accounts and prepare necessary reports
• Support development of compliance programs for WAPC and WAUSA
• Assist in internal and external compliance reviews
• Provide guidance on compliance req...
As a key member reporting to the AVP, Compliance, you will provide essential compliance support to Wellington-Altus Private Counsel and its U.S. counterpart. This role requires familiarity with regulatory frameworks for both provincially regulated and SEC investment advisers, focusing on compliance programs, monitoring, and reviews. Your expertise in wealth management will be crucial in maintaining robust compliance processes across the organization.
Key Responsibilities:
• Perform regulatory reviews on account opening documents
• Monitor higher risk accounts and prepare necessary reports
• Support development of compliance programs for WAPC and WAUSA
• Assist in internal and external compliance reviews
• Provide guidance on compliance req...
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