This job offer is not available in your country.
Senior Compliance Analyst
Wellington-Altus Financial Inc.Wellington, Wellington, New Zealand30+ days ago
Job descriptionMonitoring email communications and social media for regulator risks to identify red flags or unusual activity. Performing Tier 2 supervision duties assigned, including more complex or escalated reviews of business activities, supervision of higher-risk accounts or representatives and secondary oversight of Tier 1 process. Improving, developing, and maintaining Tier 2 processes and workflows. Assisting with training and providing support to analysts and newly onboard team members on protocols and procedures. Providing guidance and supporting to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory expectations. Assisting with resolving compliance-related issues. Serving as a trusted resource for addressing inquiries related to firm policies, business practices and regulatory interpretations Participating in internal compliance reviews and / or external regulator reviews conducted at Head Office or branches. Participate in internal audits and compliance assessments, including thematic reviews, branch audits or targeted testing of specific controls or processes. Support external regulatory reviews by preparing documentation, responding to requests and assisting in implementing follow-up actions or remediation. Maintain a current understanding of the firm’s internal policies and procedures, as well as applicable industry regulations and compliance trends. Stay informed about regulatory changes and participate in training sessions or industry forums as appropriate. Participating in other compliance and supervision-related projects and initiatives as assigned. Performing other duties as assigned. A bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience. A minimum of 2-5 years of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role. A minimum of 1 year experience in a Tier 2 supervisory role is a strong asset. Experience in wealth management or other regulated industry is a strong asset. Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook. Demonstrates a high level of accountability, adaptability, and innovation in achieving both day-to-day responsibilities and long-term goals. Strong attention to detail. Excellent attitude and commitment to providing exceptional service. Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual). Strong problem-solving and critical thinking abilities. Highly organized with a consistent and reliable work ethic. Comfortable with ambiguity and able to manage a high volume of competing priorities. Maintains the highest level of confidentiality. 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.
Location : This in-office position will be based out of our Calgary or Toronto office.
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 Senior Manager, Compliance, the Senior Compliance Analyst will be responsible for completing Tier 2 supervisor functions, in addition to other Compliance Analyst functions as assigned. Daily tasks will vary and will look to provide holistic compliance supervision support, which may a review of Tier 2 daily, monthly, and quarterly trading, email / social media surveillance. The Senior Compliance Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.
Key responsibilities include :
The ideal candidate will possess :
Canadian Securities Course (CSC) is an asset.
Conduct & Practice Handbook (CPH) is an asset.
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 .
#J-18808-Ljbffr
Create a job alert for this search
Senior Analyst • Wellington, Wellington, New Zealand
Related jobs
- Promoted
Senior Reconciliation Analyst
Mercury NzNew Zealand Mercury is a bold future-focused organisation, providing energy and telecommunications to more Kiwis than anyone else, leading the way with renewable energy and working toward a sustainable future....Show moreLast updated: 4 days ago
- Promoted
Risk And Compliance Lead
Rotorua Lakes CouncilNew Zealand Job Description Posted Thursday, 21 August 2025 at 10 : 00 am Expires Sunday, 7 September 2025 at 9 : 59 amAre you ready to be part of a team that's dedicated to making a positive impact in our communi...Show moreLast updated: 29 days ago
- Promoted
Senior Business Analyst
New Zealand GovernmentWellington, New Zealand Discover a career with purpose at MBIE.Discover a career with purpose at MBIE.Surround yourself with people who are curious and passionate about rewiring our analysis craft and capability • Work in...Show moreLast updated: 30+ days ago
- Promoted
Compliance Analyst, Branch Audit
Wellington-Altus Financial Inc.Wellington, Wellington, New Zealand This in-office position will be based out of our Calgary or Toronto office.Founded in 2017, Wellington-Altus Financial (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel I...Show moreLast updated: 27 days ago
- Promoted
Senior Business Analyst
New Zealand Ministry Of Economic DevelopmentWellington, Wellington, New Zealand Select how often (in days) to receive an alert : .Surround yourself with people who are curious and passionate about rewiring our analysis craft and capability.
Work in a complex and dynamic ICT envir...Show moreLast updated: 30+ days ago
- Promoted
Senior Analysts
Robert WaltersWellington, Wellington, New Zealand Be among the first 25 applicants.We are seeking Senior Analysts with experience in policy analysis.These positions typically involve leading reviews and making recommendations to assess efficiency ...Show moreLast updated: 30+ days ago
- Promoted
Senior Analyst Reporting X 2
Ministry Of Social DevelopmentWellington, New Zealand The Ministry of Social Development is a people-centred organisation.We're in communities across the motu, working with partners to help New Zealanders be safe, strong and independent.We provide soc...Show moreLast updated: 9 days ago
- Promoted
Managers required
SBNH Foods LimitedLower Hutt, Wellington, New Zealand Are you passionate about pizza and leadership? Domino's Pizza is looking for a Store Manager & 2 dedicated Shift Managers to join our dynamic teams in .
Kilbernie and Newtown, Wellington! If you thr...Show moreLast updated: 16 days ago
- Promoted
Senior Compliance Officer
New Zealand GovernmentWellington, Wellington, New Zealand Mō tēnei tūranga mahi | About this roleDiscover a career with purpose at MBIE • •Discover a career with purpose at MBIE • • • Discover a career with purpose at MBIE • Help instill greater compliance ...Show moreLast updated: 30+ days ago
- Promoted
- New!
Senior Compliance Officer
Ministry of Business, Innovation and EmploymentWellington, Wellington, New Zealand Discover a career with purpose at MBIE.Permanent, full-time opportunity based in Wellington.Salary : $110,098 - $138,028 plus KiwiSaver.
The Senior Compliance Officer reports into the National Manage...Show moreLast updated: 4 hours ago
- Promoted
Senior Manager Risk & Compliance
Reserve Bank Of New ZealandWellington, New Zealand Senior Manager Risk & Compliance page is loaded## Senior Manager Risk & Compliancelocations : Wellington : Aucklandtime type : Full timeposted on : Posted Todayjob requisition id : JR101338 • •Senior Mana...Show moreLast updated: 9 days ago
- Promoted
Senior Compliance Officer
Nz Transport Agency Waka KotahiWellington, Wellington, New Zealand We are looking for a Senior Compliance Officer to join our team.You will work as part of a connected team to deliver effective regulatory management through monitoring the compliance of transport s...Show moreLast updated: 11 days ago
- Promoted
Senior Analyst
New Zealalnd GovernmentWellington, Wellington, New Zealand Create an account and apply for jobs of interest.Create a profile and receive email alerts for jobs that match your profile.
Connecting Insights to Strategy : Be at the Heart of Treasury's Investment...Show moreLast updated: 30+ days ago
- Promoted
Compliance And Risk Analyst
Craigs Investment Partners LimitedNew Zealand We have a 12-month fixed term opportunity for an Analyst to join our Compliance and Risk team based at our central Tauranga office on a part time basis.
Monday to Friday with shorter days.Compliance...Show moreLast updated: 4 days ago
- Promoted
Senior Manager Risk & Compliance
WHATJOBSWellington, Wellington, New Zealand Mo tenei turanga mahi| About this role.Senior Manager, Risk and Compliance.As the Senior Manager, Risk and Compliance you will lead and direct the Risk and Compliance Team, and ensure a risk and co...Show moreLast updated: 11 days ago
- Promoted
Senior Compliance Specialist, Programs
Wellington-Altus Financial Inc.Wellington, Wellington, New Zealand This in-office position will be based out of our Calgary or Toronto office.Founded in 2017, Wellington-Altus Financial (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel I...Show moreLast updated: 27 days ago
- Promoted
Compliance Analyst
Wellington-Altus Financial Inc.Wellington, Wellington, New Zealand 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 Wellingt...Show moreLast updated: 29 days ago
- Promoted
Senior Manager Risk & Compliance
New Zealand GovernmentWellington, Wellington, New Zealand Mō tēnei tūranga mahi | About this role • •Senior Manager, Risk and Compliance • • • •Te tūranga - The role • • As the Senior Manager, Risk and Compliance you will lead and direct the Risk and Com...Show moreLast updated: 10 days ago