Job Description
Wellington-Altus is hiring a full-time Compliance Analyst, specializing in WAPC and WAUSA divisions. This role is vital for ensuring compliance with regulatory standards across Canada.
In this mid-level Compliance Analyst position, you’ll support compliance functions for WAPC and WAUSA. Your role will involve performing regulatory and suitability reviews, assisting with compliance-related inquiries, and providing necessary training to staff. Strong analytical and interpersonal skills are essential for success in this fast-paced role.
Key Responsibilities:
• Execute regulatory reviews of accounts and documents
• Monitor compliance activities and advisor compensation
• Analyze personal trade monitoring and outside business activities
• Assist in internal and regulatory compliance reviews
• Prepare and update compliance policies and training materials
Requirements:
• Bachelor’s degree in business, finance, or economics
• Experience in compliance or wealth man...
In this mid-level Compliance Analyst position, you’ll support compliance functions for WAPC and WAUSA. Your role will involve performing regulatory and suitability reviews, assisting with compliance-related inquiries, and providing necessary training to staff. Strong analytical and interpersonal skills are essential for success in this fast-paced role.
Key Responsibilities:
• Execute regulatory reviews of accounts and documents
• Monitor compliance activities and advisor compensation
• Analyze personal trade monitoring and outside business activities
• Assist in internal and regulatory compliance reviews
• Prepare and update compliance policies and training materials
Requirements:
• Bachelor’s degree in business, finance, or economics
• Experience in compliance or wealth man...
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