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LT
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Thrive Wealth Management

Wealth Compliance Officer

Regina, SK, S7K 0Z1, Canada

$63,970 - $79,962 with 10% Short Term Incentive Target · Full-time

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Job details

Pay: $63,970 - $79,962 with 10% Short Term Incentive Target
Job type: Full-time
Posting language: English
Posted: Oct 8, 2026

Original job description

At Thrive Wealth Management, we help clients strengthen their financial security and turn their wealth goals into reality. Our vision is to be the premier wealth management partner in every market we serve, providing personalized solutions for every stage of life – delivered by passionate professionals committed to earning trust with our clients and making a meaningful impact in their lives.

Thrive Wealth Management is a wealth management subsidiary of Conexus Credit Union serving members of credit unions and their communities. Financial advice and planning are core to what we provide for clients, including investment advice, retirement savings, income planning, estate, and protection advice.

We share the values that our credit union partners demonstrate, while providing the professionalism and knowledge that is vital for investment management. We conduct ourselves with integrity in everything we do, we show respect for every individual who comes through our doors, and we inspire and promote an environment of accountability. Learn more about our diverse team across Saskatchewan.

We acknowledge that our Thrive offices and facilities are located on Treaty 2, 4, 5, 6, 8 and 10 lands. These are the traditional lands of the Cree, Dakota, Dene, Lakota, Nakota and Saulteaux peoples, as well as the homeland of the Métis.

The bigger picture:

We're looking for a collaborative and detail-oriented individual to come on board as our Wealth Compliance Officer at Thrive Wealth Management and Aviso Wealth, for a temporary term, up to 15 months. In this role, you'll play an important part in protecting our members, advisors, and organization by providing mutual fund compliance supervision, guidance, and support. You'll work closely with an experienced team of advisors to ensure regulatory and Aviso Wealth dealer requirements are met, strengthen compliance practices, and help foster a culture of accountability, integrity, and continuous improvement across Thrive Wealth Management and Conexus Credit Union.

How you’ll spend your time:

Providing developmental and technical support to strengthen mutual fund registered advisors’ compliance knowledge, routines, and best practices.
Reviewing and evidencing approval for new accounts, trades, KYC updates, and account changes.
Ensuring sales and service activities meet compliance regulations to mitigate risk for the client, advisor, and the Credit Union.
Collaborating with the team and proactively identifying and recommending areas of efficiency aligned to policy and procedure.
Delivering organization-wide consistency when adopting process changes.

The way people describe you:

You're a detail-oriented and trusted partner who balances strong compliance knowledge with a practical, people-focused approach. You build authentic relationships, communicate clearly, and enjoy supporting others through coaching, guidance, and collaboration. Known for your critical thinking, curiosity, and strong sense of accountability, you proactively identify risks, solve problems, and continuously look for ways to improve processes and outcomes. Most importantly, you bring integrity, a growth mindset, and a commitment to delivering exceptional experiences for both advisors and members.

The experience you bring:

2+ years’ experience working in the wealth or financial industry; mutual fund compliance experience is preferred
Mutual Fund registration (CSC or IFIC)
Branch Compliance Manager/ Officer Course (consideration will be given to those with the ability to obtain course ASAP)
Extensive industry knowledge and understanding of compliance requirements
Exceptional attention to detail
Commitment to continuous learning and development

Salary Range:

$63,970 - $79,962 with 10% Short Term Incentive Target

Various Thrive locations will be considered, however not all locations may be able to accommodate this role.

Benefits and Perks

The success of our clients relies heavily on the performance and accomplishments of our employees. That’s why we prioritize offering our team a variety of perks and benefits designed to support their success and well-being both at work and in their personal lives. Some of these additional benefits include, but are not limited to:

Generous vacation benefits with additional paid time off, giving you time to spend on what’s most important to you.
Competitive benefit package options, covering all aspects of personal wellness.
Pension matching to support you towards retirement.
Preferred rates for all your banking needs, helping to make life more affordable.

We are excited to welcome candidates who bring a blend of academic, professional, and volunteer experience that sets them apart. Research shows that many applicants only apply if they meet every qualification of the role. However, we encourage you to consider the roles that most closely align with your skillset and experience. We truly value diverse backgrounds and experiences, as we are dedicated to creating inclusive and diverse workplaces. This opportunity closes on October 22, 2026, so apply now! If you have questions about this position, please contact Aubrie Houk at jobs@conexus.ca.

Mutual funds and other securities are offered through Aviso Wealth, a division of Aviso Financial Inc.

^#DNP

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More about this job

Responsibilities

The Wealth Compliance Officer will provide mutual fund compliance supervision, guidance, and support to advisors while ensuring regulatory requirements are met. They will also review account activities and collaborate with the team to foster a culture of accountability and continuous process improvement.

Requirements

Candidates must have at least 2 years of experience in the wealth or financial industry, with a preference for mutual fund compliance experience. Required certifications include Mutual Fund registration (CSC or IFIC) and the Branch Compliance Manager/Officer Course.

Skills

Mutual fund compliance
Regulatory compliance
Risk mitigation
Account supervision
KYC updates
Trade approval
Critical thinking
Coaching
Communication
Attention to detail
Process improvement
Financial industry knowledge

Benefits

Vacation benefits
Paid time off
Competitive benefit package
Pension matching
Preferred banking rates

Visa sponsorship

Not detected in the job text

Hiring contact

Aubrie Houk

Keywords

Wealth Management
Compliance
Mutual Funds
Regulatory Requirements
Aviso Wealth
Credit Union
Risk Management
KYC
Account Supervision
CSC
IFIC
Branch Compliance Manager
Financial Advice
Investment Management
Integrity
Accountability
Process Improvement
Financial Security

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