Compliance Analyst, Branch Audit

Calgary - Centennial 2200

250 5th St. SW

Suite 2200

Calgary, AB T2P0R4, CAN

Calgary - Centennial 2200

250 5th St. SW

Suite 2200

Calgary, AB T2P0R4, CAN

Location : This in-office position will be based out of our Calgary or Toronto office.

Our organization :

Founded in 2017, Wellington-Altus Financial (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., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated

• investment dealer in Canada and one of Canada’s Best Managed Companies. With nearly $40 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 2025 Brokerage Report Card.

The opportunity :

Reporting to the Associate Vice-President, Audit and Conduct, the Compliance Analyst, Branch Audit will conduct the Compliance Branch Audit Review Program. The ideal successful candidate will possess an analytical mindset with exceptional attention to detail, previous experience in the financial services industry, and familiarity with investment products and services. Knowledge of CIRO / IIROC regulations and industry best practices would be considered an asset.

Key responsibilities include :

The ideal candidate will possess :

2-3 years’ financial services industry experience working in a high growth environment preferred.

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.

Knowledge of financial products, financial terms, and business processes of an investment dealer / advisory firm.

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.

Conditions of 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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