Join Wellington-Altus as a Compliance Analyst specializing in financial services in Calgary or Toronto. Utilize your analytical skills and attention to detail to conduct thorough audits and ensure regulatory compliance.
The Compliance Analyst role reports to the Associate Vice-President of Group Audit and Conduct. You’ll play an essential part in the Compliance Audit Review Program for all WAFI subsidiaries. Key skills include knowledge of CIRO/IIROC regulations, investment products, and exceptional analytical abilities to identify trends and risks.
Key Responsibilities:
• Conduct comprehensive audits in line with regulations
• Prepare timely audit reports following branch evaluations
• Support data collection for compliance requests
• Schedule advisor interviews for compliance adherence
• Identify key risks or trends for training recommendations
Requirements:
• Bachelor’s degree in business, finance, or accounting
• 2-3 years in financial services industr...