Become a Supervisor at Wellington-Altus in Toronto or Calgary, focusing on compliance and risk management. Oversee regulatory activities, support advisor teams, and enhance procedural efficiencies.
Wellington-Altus, a leading Canadian investment firm, seeks a Supervisor to report to the Associate Vice-President. This role requires at least five years of progressive experience with a CIRO member dealer, including two years in compliance or supervision. The Supervisor will guide compliance, conduct due diligence, and foster collaboration across teams to ensure all regulatory standards are met.
Key Responsibilities:
• Review and approve trade reports and compliance submissions
• Resolve compliance inquiries and provide regulatory guidance
• Educate Registrants on compliance obligations
• Stay informed of regulatory updates and enhance processes
• Collaborate on compliance-related projects and initiatives
Requirements:
• Bachelor’s degree in business or finance