Wellington-Altus is seeking a detail-oriented Financial Compliance Analyst in Calgary or Toronto. Bring your analytical mindset and financial services experience to conduct compliance audits and maintain industry standards.
As part of the Group Audit team, you will report to the Associate Vice-President and work on ensuring adherence to CIRO/IIROC regulations. This role requires strong problem-solving skills, experience with investment products, and the ability to foster relationships with advisors.
Key Responsibilities:
• Perform detailed audits of various branches
• Compile reports post-audit for compliance purposes
• Gather data for compliance-related requests
• Secure advisor interviews for regulatory adherence
• Identify training needs through trend analysis
Requirements:
• Degree in finance, accounting, or related field
• 2-3 years of financial services experience
• Advanced skills in Excel and MS Office
• Strong analytical and organizational s...