Financial Compliance Specialist

2 weeks ago

Wellington, Wellington, New Zealand Wellington-Altus Financial Inc. Full time

About Us:

Wellington-Altus Financial Inc. is a leading investment dealer in Canada, with a strong presence across the country.

We are committed to delivering exceptional service to our clients and fostering a culture of compliance and integrity within our organization.

Job Summary:

The Compliance Analyst, Branch Audit will be responsible for conducting comprehensive audits of various branches, ensuring that all regulatory requirements and internal policies and procedures are met.

Key Responsibilities:

  • Conducting branch audits to identify areas of risk and non-compliance
  • Scheduling interviews with advisors to ensure adherence to internal processes and regulatory requirements
  • Preparing audit reports in a timely manner, highlighting key findings and recommendations for improvement
  • Assisting in implementing new processes or amending current ones to ensure regulatory requirements are being met
  • Fostering strong relationships with advisors during the branch audit process
  • Staying up-to-date with regulatory developments and changes to internal policies and procedures
  • Supporting the collection of data for compliance-related and/or regulatory requests
  • Identifying trends or key risks/themes for training or recommendations for policy changes

Requirements:

  • University/Post-Secondary education in business, finance, accounting or a related field
  • 2-3 years' financial services industry experience working in a high growth environment
  • Completion of CSC or CPH preferred
  • Proficient with MS Office (i.e. Word, Excel, PowerPoint), and some knowledge of advanced MS Excel functions (e.g. VLOOKUP, pivot tables)
  • Demonstrated analytical, organizational, and problem-solving skills
  • Ability to work independently with minimal supervision and collaboratively as part of a team
  • Strong organizational skills with the ability to proactively organize and manage a high volume of time-sensitive, highly detailed, and confidential information
  • Ability to build and maintain professional relationships (e.g., with advisors and other compliance staff)
  • Excellent verbal and written communication skills
  • Strong attention to detail and ability to identify and escalate issues in a timely manner

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