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Investment Manager, Regulatory Compliance Oversight

3 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 and one of the country's Best Managed Companies. Founded in 2017, our organization encompasses several subsidiaries, including Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., and Wellington-Altus Insurance Inc.

We are seeking a highly skilled Senior Manager to oversee the supervision of Portfolio Managers at Wellington-Altus Private Wealth (WAPW). The successful candidate will focus on internal managed account platforms and business standards, ensuring compliance with regulatory requirements.

The ideal candidate will possess a bachelor's degree in business administration, finance, or a related field, along with proficiency in Canadian Securities Course, Conduct and Practices Handbook, Branch Managers Course, CFA, or CIM. A minimum of 10+ years of experience in the financial services industry is required, preferably working for a Dealer Member or ICPM.

The Senior Manager will be responsible for conducting supervision activities, reviewing trade alerts and reports, and managing regulatory obligations. They will also play a key role in maintaining a Portfolio Management Approval Process and creating supervision programs to ensure WAPW remains compliant with regulatory requirements.

This is an excellent opportunity to join a dynamic team and contribute to the growth and success of Wellington-Altus Financial Inc.