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Senior Compliance Analyst, Complaints
2 weeks ago
Senior Compliance Analyst, Complaints (Full-Time, Term)Location: This in-office position will be based out of our Calgary or Winnipeg office.
Type: This is a full-time, 12-month term position.
Our organization: Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada's Best Managed Companies.
With more than $35 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.
*Investment Executive 2024 Brokerage Report Card. The opportunity: Reporting to VP, Audit & Conduct, the Senior Compliance Analyst, Complaints will provide administrative support in assisting in the review of client complaints to assess the merits of the allegations raised, secondly take responsibility for carrying out the compliance activities of the firm with respect to Anti-Money Laundering surveillance.
The successful candidate will possess strong organization skills, exceptional attention to detail, and be responsible for leveraging technology to improve the analyst function.
Key responsibilities include: Managing and maintaining high-risk client lists as determined by daily trade and account supervisor.Identifying and investigating potentially suspicious activity through monitoring.Conducting analysis with respect to AML due diligence leveraging external and internal databases.Drafting and preparing AML investigative summaries for the Chief Compliance Officers.Completing AML filing requirements for the firm.Maintaining AML files and supporting documentation.Assisting with policies and procedures to ensure compliance with the industry regulations related to proceeds of crime money laundering and terrorist financing act.Informing senior management of activity that may involve rule violation or suspicious activity.Participating in other compliance and supervision-related projects and initiatives as assigned.Managing the complaint handling process by gathering information, investigation and adjudicating complaints relating to the firm and its registrants.Supporting the Vice-President, Compliance on interactions with securities regulatory authorities, including inquiries, reviews, investigations, enforcement actions, complaints (internal and external) and production orders.Supporting the ongoing development of appropriate policies, procedures, and controls relating to complaints and investigations to facilitate a fair and effective complaints process.Proactively monitoring changes in regulatory requirements and coordinate the participation of various stakeholders to evaluate the business impact and ensure implementation of necessary changes.Communicating with complainants, corporate staff, registrants, and regulators, including IIROC and provincial securities commissions.Participating in compliance related projects and initiatives, as assigned.The ideal candidate will possess: Bachelors degree in business administration, accounting, finance or related field.Equivalent combination of education and experience may be considered.Experience in the wealth management or other regulated industry is a strong asset.Successful completion of the CSC and CPH courses is considered an asset.A minimum 2 years' experience in a professional office environment.Previous exposure to AML monitoring or financial services preferred.CAMS certification an asset.Proficiency with the MSOffice suite, including Word, Excel, PowerPoint, Teams, and Outlook.Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day to day work and long-term goals.Excellent attitude and commitment to providing extraordinary service.An excellent attention to detail.Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).Excellent problem-solving skills.Strong organizational skills.A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.Strong critical thinking and written and verbal communication skills.An ability to maintain the highest levels of confidentiality.Conditions of employment: Must be legally eligible to work in Canada.A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.Wellington-Altus Private Wealth is strongly committed to equity and diversity within its community and welcomes applications from women, racialized persons, Indigenous peoples, persons with disabilities, and persons of all sexual orientations and genders.
All qualified individuals who would contribute to the further diversification of our organization are encouraged to apply.
If you require accommodation for the recruitment process, please let us know at the point of application.
To apply: Click the Apply for This Job button to submit your resume, cover letter and salary expectations.
You will be contacted if you are selected for an interview.
More information about working at Wellington-Altus can be found on our website at >
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