Senior Manager, Managed Accounts Supervision
1 week ago
Senior Manager, Managed Accounts Supervision Job Category : Investments, Regulatory & Digital Strategy Senior Manager, Managed Accounts Supervision Location: This position can be based out of any of our office locations across Canada.
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 the Vice-President, Investments & Lead Portfolio Manager, the Senior Manager, Managed Accounts Supervision is registered with CIRO to supervise the activities of Portfolio Managers of Wellington-Altus Private Wealth (WAPW) with a focus on internal managed account platforms and business standards.
The successful candidate will also play a key role in the oversight of Wellington-Altus Private Counsel (WAPC) and Wellington-Altus USA (WAUSA).
Key responsibilities include: Conducting supervision activities focused on managed accounts including reviewing and approving trade alerts and reports, account opening, KYC and IPS updates.
Managing the regulatory obligation of direct supervision over Associate Portfolio Managers to ensure they develop appropriate standards and systems as Portfolio Managers.
Assisting in the ongoing maintenance of a Portfolio Management Approval Process to vet internal candidates to determine if they properly qualify for firm sponsorship including the requirement to manage by model and utilize the bulk trading platforms offered by the firm after approved.
Supporting the creation and maintenance of supervision programs (and related procedures) for managed accounts to ensure WAPW, WAPC and WAUSA remain compliant with requirements.
Participating in internal compliance reviews or external regulator audits conducted at Head Office or the branches.
Continually looking for ways to improve the firm's system of compliance and supervision.
Performing other duties as assigned.
The ideal candidate will possess: A bachelor's degree in business administration, finance, or similar field of study.
Successful completion of the proficiency requirements for a Supervisor including Canadian Securities Course, Conduct and Practices Handbook, Branch Managers Course, CFA or CIM.
Minimum of 10+ years financial services experience, preferably all of which working for a Dealer Member or ICPM.
In-depth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO, securities commissions and the SEC as well as other regulators.
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.
Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
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.
Strong organizational skills and attention to detail with the ability to prioritize effectively, handle multiple tasks and handle stress in a fast-paced environment.
Proven analytical and problem-solving skills.
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 .
#J-18808-Ljbffr
-
Senior Manager, Managed Accounts Supervision
5 days ago
Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full timeSenior Manager, Managed Accounts SupervisionJob Category: Investments, Regulatory & Digital StrategySenior Manager, Managed Accounts SupervisionLocation: This position can be based out of any of our office locations across Canada.Our organization:Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus...
-
Senior Account Supervision Leader
5 days ago
Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full timeJob SummaryWe are seeking a seasoned professional to serve as Senior Manager, Managed Accounts Supervision. This key role will be responsible for overseeing the supervision of Portfolio Managers in Wellington-Altus Private Wealth's managed account platforms, ensuring compliance with regulatory requirements and business standards across multiple regions.Key...
-
Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full time**Company Overview**Wellington-Altus Financial Inc. is a top-rated investment dealer in Canada, with over $35 billion in assets under administration. Our organization consists of several subsidiaries, including Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., and Wellington-Altus Insurance Inc.We are committed to equity and diversity within...
-
Senior Account Relationship Manager
6 days ago
Wellington, Wellington, New Zealand Credit Consultants Full time**Job Overview**Credit Consultants is seeking an experienced professional to fill the role of Senior Account Relationship Manager. This position will be responsible for managing a portfolio of clients and building strong relationships with them.**Key Responsibilities**Regular communication with clients to determine their service requirements and satisfaction...
-
Managed Accounts Governance Executive
5 days ago
Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full timeJob SummaryWe are seeking a highly skilled Senior Manager, Managed Accounts Supervision to join our team at Wellington-Altus Financial Inc. As a key member of our leadership team, you will be responsible for overseeing the activities of our Portfolio Managers, ensuring compliance with regulatory requirements, and maintaining a portfolio management approval...
-
Senior Management Accountant
2 days ago
Wellington, Wellington, New Zealand New Zealand Government Full timeThe New Zealand Government is seeking a skilled and experienced Senior Management Accountant to join the Ministry of Māori Development team. As a key member of our finance team, you will play a crucial role in providing financial advice and support to budget managers and senior leadership.In this challenging and rewarding role, you will have the opportunity...
-
Senior Account Oversight Specialist
5 days ago
Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full timeAbout the JobAs a Senior Manager, Managed Accounts Supervision with Wellington-Altus Financial Inc., you will play a critical role in overseeing the activities of our Portfolio Managers. Your key responsibilities will include supervising managed accounts, ensuring compliance with regulatory requirements, and maintaining a portfolio management approval...
-
Senior Accounting Manager
5 days ago
Wellington, Wellington, New Zealand Ministry of Business, Innovation and Employment Full timeAbout the RoleThis is an exciting opportunity to join our finance team as a Senior Financial Accountant. You will have the chance to utilize your expertise to provide advice on financial accounting management within the Ministry.You will be responsible for assisting the Manager to ensure team responsibilities are delivered, actively challenging the status...
-
Managed Accounts Leadership Role
5 days ago
Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full timeKey ResponsibilitiesAs Senior Manager, Managed Accounts Supervision, you will be responsible for:• Conducting thorough supervision activities, including trade alert reviews, report approvals, and account maintenance• Developing and implementing strategies to improve the firm's system of compliance and supervision• Collaborating with the Vice-President,...
-
Senior Accounting Manager
5 days ago
Wellington, Wellington, New Zealand Robert Walters New Zealand Full timeAbout the Role:We are seeking an experienced Senior Financial Accountant to join our team in Wellington. The successful candidate will have a proven track record of delivering high-quality financial services and will be able to work effectively in a fast-paced environment.Deliver Quality Financial Services: As a Senior Financial Accountant, you will be...
-
Senior Management Accountant
3 weeks ago
Wellington, Wellington, New Zealand Robert Walters New Zealand Full timeA Wellington-based public sector organisation is looking for a Senior Management Accountant to provide financial advice and support. The role involves strategic planning, budget bids, and business cases, aiming to enhance financial management capability.Key Responsibilities:Serve as a finance expert, offering respected advice and guidance across the...
-
Portfolio Manager Supervisor
5 days ago
Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full timeSenior Manager, Managed Accounts SupervisionThe Role: Reporting to the Vice-President, Investments & Lead Portfolio Manager, we seek an experienced Senior Manager, Managed Accounts Supervision to oversee the activities of Portfolio Managers at Wellington-Altus Private Wealth. Key responsibilities include conducting supervision activities, managing regulatory...
-
Account Manager
1 week ago
Wellington, Wellington, New Zealand Credit Consultants Full timeACCOUNT MANAGER POSITION AVAILABLE – WELLINGTON CITYWe seek an Account Manager who will be responsible for undertaking duties associated with the following:Relationship management of a portfolio of clientsRegular communication by way of telephone and email contact with clients to determine service requirements and client satisfactionPreparation and issue...
-
Accounting Operations Manager
21 hours ago
Wellington, Wellington, New Zealand CGR Services Full timeJob SummaryWe are seeking an experienced Accounting Operations Manager to join our team. As a key member of the finance department, you will be responsible for managing the accounting operations of the hotel, including financial reporting, budgeting, and forecasting.About the Role:Supervise and manage the accounting team to ensure accurate and timely...
-
Account Manager
2 weeks ago
Wellington, Wellington, New Zealand SaferMe Full timeApplications close: 2023-04-30We are looking for a qualified Sales Account Manager to join our team. You will be responsible for developing long-term relationships with customers and overseeing sales.As a Sales Account Manager, you should work to satisfy customers' needs and requests, respond to their queries in a timely manner, and aspire to deliver a...
-
Senior Management Accountant
3 weeks ago
Wellington, Wellington, New Zealand Tribe Recruitment Full timeAn exciting opportunity is available for a Senior Management Accountant to join a high-performing finance team in Wellington. This fixed-term role (6 months, parental leave cover) is perfect for someone who thrives in a dynamic environment and is passionate about delivering financial insights that drive strategic decision-making.About The RoleProvide...
-
Senior Management Accountant Leader
7 days ago
Wellington, Wellington, New Zealand Wellington Water Full timeOur role as Senior Management Accountant is to provide high-quality management reporting across the organisation, preparing and collating forecast information gathered from across the organisation. We also provide variance analysis to help inform decision making, prepare annual budgets, and provide regular reporting. In this role, you will work in a...
-
Senior Management Accountant
7 days ago
Wellington, Wellington, New Zealand Wellington Water Full timeJoin our dynamic and passionate Finance teamOpportunity to make a difference across the organisationBased close to the beach and shops in PetoneThis is a full time position of 40 hours per week.The remuneration range for this role is $98,925 to $139,658, with a midpoint of $116,382 (including KiwiSaver) depending on skills and experience.The opportunityAs...
-
Senior Management Accountant
6 days ago
Wellington, Wellington, New Zealand Wellington Water Full timeJoin our dynamic and passionate Finance teamOpportunity to make a difference across the organisationBased close to the beach and shops in PetoneThis is a full time position of 40 hours per week.The remuneration range for this role is $98,925 to $139,658, with a midpoint of $116,382 (including KiwiSaver) depending on skills and experience.The opportunityAs...
-
Senior Management Accountant
7 days ago
Wellington, Wellington, New Zealand Wellington Water Full timeJoin our dynamic and passionate Finance teamOpportunity to make a difference across the organisationBased close to the beach and shops in PetoneThis is a full-time position of 40 hours per week.The remuneration range for this role is $98,925 to $139,658, with a midpoint of $116,382 (including KiwiSaver) depending on skills and experience.The opportunityAs...
