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Added 52 mins ago
FC
Associate, Compensation (12 to 15-month contract)
Fiera Capital
Montreal, QC
- Full-time
The Associate, Compensation supports the Advisor, Compensation in the day-to-day delivery of the organization's compensation programs. Working under the Advisor's guidance, the role focuses…
Added 1 hour ago
NB
Associate
National Bank of Canada
Sept-Îles, QC
- Full-time
A career as an Associate in the Wealth Management team at National Bank, will give you the opportunity to show your ability to work in synergy with clients and colleagues. In this role, you…
Added 1 hour ago
NB
Associate
National Bank of Canada
AB · Edmonton, AB
- Full-time
As an Associate, you will help ensure that client requests are handled accurately, professionally, and efficiently. You will communicate with clients and colleagues, maintain client…
Added 1 hour ago
NB
Private Banking Associate, Private Banking 1859
National Bank of Canada
Calgary, AB
- Temporary
Private Banking 1859 provides a boutique, red carpet experience to ultra-high net worth clients with personal banking and business needs as well as wealth management, estate and tax…
Added 2 hours ago
NB
Wealth Associate
National Bank of Canada
Calgary, AB
- Full-time
A career as a Wealth Associate at National Bank is a job where you can showcase your ability to work in synergy with clients and colleagues. In this role, you will help wealth advisors to…
Added 5 hours ago
HI
Commercial Lines Account Associate, Professional Liability
HUB International
Markham, ON
- Full-time
We’re looking for a strong Commercial Account Associate to support our professional liabilities accounts in Markham. This role involves working closely with Senior Team members of the…
Added 7 hours ago
S
Customer Experience Associate (Contract) - Huntsville Place Mall Branch (22.5 Hours/Week)
Scotiabank
Huntsville, ON
- Contract
As a Customer Experience Associate, you are the face, character and heart of our branches. Scotiabank is a place where we put our customers first, and our priority is to help them achieve…
Added 11 hours ago
Associate Team Lead - Peterborough Kawartha Centre, Peterborough , Ontario
Scotiabank
Peterborough, ON
The Associate Team Lead, Business Banking, is responsible for supporting the Team Lead, Business Banking with the Business Banking (BB) market strategy by leading, overseeing, and providing…
Added 12 hours ago
TS
Associate – Retail/Wealth FX, Fixed Income and Precious Metals Distribution
TD Securities
Toronto, ON
- Full-time
…and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary…
Added 12 hours ago
Customer Experience Associate (Contract) - Huntsville Place Mall Branch (22.5 Hours/Week)
Scotiabank
Huntsville, ON
As a Customer Experience Associate, you are the face, character and heart of our branches. Scotiabank is a place where we put our customers first, and our priority is to help them achieve…
Added 13 hours ago
Customer Experience Associate - Mahogany Branch, AB (30 hours/week) Contract- May, 2027
Scotiabank
AB · Calgary, AB
As a Customer Experience Associate, you are the face, character and heart of our branches. Scotiabank is a place where we put our customers first, and our priority is to help them achieve…
Added 14 hours ago
CG
Investment Banking Analyst
Canaccord Genuity Group Inc.
Toronto, ON
- Full-time
Our Canadian operation is currently looking for an Analyst or Associate to join our Diversified Investment Banking group in Toronto. Analysts in this group are generalists, gaining…
Added 14 hours ago
Portfolio Analyst - 18 Month Contract
Scotiabank
Toronto, ON
…field as necessary to deliver a seamless and efficient client experience by managing cash requirements and ongoing portfolio management for portfolios adhering to the centralized models.…
Added 15 hours ago
T
Associate – Retail/Wealth FX, Fixed Income and Precious Metals Distribution
TD
Toronto, ON
- Full-time
…and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary…
Added 16 hours ago
Senior Customer Experience Associate - Castleridge Centre, AB (30 hours/week)
Scotiabank
Calgary, AB
Our Senior Customer Experience Associates are the face, character and heart of our branches. Scotiabank is a place where we put our customers first, and our priority is to help them achieve…
Added 16 hours ago
Customer Experience Associate - Queensway & Islington (15 hours/week)
Scotiabank
Toronto, ON
As a Customer Experience Associate, you are the face, character and heart of our branches. Scotiabank is a place where we put our customers first, and our priority is to help them achieve…
Added 17 hours ago
C
Financial Services Associate (Mandarin)
CIBC
Vancouver, BC
- Full-time
…futures and set up their businesses. As a Financial Services Associate in the Imperial Service Team, you’ll provide administrative and client support to seek business growth opportunities.…
Added 17 hours ago
C
Financial Services Associate (Mandarin)
CIBC
Vancouver, BC
- Full-time
…futures and set up their businesses. As a Financial Services Associate in the Imperial Service Team, you’ll provide administrative and client support to seek business growth opportunities.…
Added 17 hours ago
W
Compliance Analyst, Group Audit & Conduct
Wellington-Altus
AB · Toronto, ON · Calgary, AB
- Full-time
Founded in 2017, Wellington-Altus Private Wealth Inc. (Wellington-Altus) is Canada's top-rated* investment dealer and a subsidiary of Wellington-Altus Financial Inc., one of Canada’s Top…
Added 17 hours ago
MC
Wealth Management Advisor (full-time; Goderich)
Mainstreet Credit Union Canada
Goderich, ON
- $63,703 to $99,535 CAD / year
- Full-time
Mainstreet Credit Union is actively seeking a Wealth Management Advisor to join our team!
Added 17 hours ago
Senior Customer Experience Associate - Speedvale & Stevenson, Guelph
Scotiabank
Guelph, ON
Our Senior Customer Experience Associates are the face, character and heart of our branches. Scotiabank is a place where we put our customers first, and our priority is to help them achieve…
Added 17 hours ago
Customer Experience Associate - Niagara & Thorold, Welland (22.5 hours/week)
Scotiabank
Welland, ON
As a Customer Experience Associate, you are the face, character and heart of our branches. Scotiabank is a place where we put our customers first, and our priority is to help them achieve…
Added 17 hours ago
Senior Customer Experience Associate - Grimsby (18.75 Hours/Week)
Scotiabank
Grimsby, ON
Our Senior Customer Experience Associates are the face, character and heart of our branches. Scotiabank is a place where we put our customers first, and our priority is to help them achieve…
Added 17 hours ago
Client Service Processor, temporary 6-month contract
The Canada Life Assurance Company
London, ON
Reporting to the Associate Manager of Direct to Head Office (D2HO). The Client Service Processor will be responsible for the timely distribution of team paperwork, cheques and e-mails for…
Added 17 hours ago
B
Private Wealth Associate, Winter 2027 (Co-op/Internship) - 4 months
BMO
Halifax, NS · Nova_Ctr
- Full-time
Our student experience is designed to integrate you to the BMO team from day one by adding value in the work you do. You will have the opportunity to participate in programs such as the…

Wellington-Altus

Compliance Analyst, Group Audit & Conduct

AB, Canada
Toronto, ON, M5H 1J9, Canada
Calgary, AB, T2P 0R4, Canada

Full-time

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Job details

Job type: Full-time
Experience: 2-3 years’ financial services industry experience working in a high-growth environment.
Posting language: English
Posted: Nov 5, 2026

Original job description

Compliance Analyst, Group Audit & Conduct

Location: This posting is for an existing vacancy in Wellington-Altus’s Calgary or Toronto office.

Our organization:

Founded in 2017, Wellington-Altus Private Wealth Inc. (Wellington-Altus) is Canada's top-rated* investment dealer and a subsidiary of Wellington-Altus Financial Inc., one of Canada’s Top Growing Companies**. With more than $55 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors, and their high-net-worth clients.

*Investment Executive 2026 Brokerage Report Card. *

* Report on Business 2026 rankings.

The opportunity:

Reporting to the Associate Vice-President, Group Audit and Conduct, the Compliance Analyst, Group Audit, will conduct the Compliance Audit Review Program for the entirety of all Wellington-Altus Financial Inc. subsidiaries.

The role requires an analytical mindset with exceptional attention to detail, experience in the financial services industry, and familiarity with investment products and services; knowledge of CIRO/IIROC regulations and industry best practices is considered an asset

Key responsibilities include:

Audits & Reporting

Conduct comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
Prepare audit reports in a timely manner following the completion of branch audits.
Support the collection of data for compliance-related and/or regulatory requests.
Prepare reports, as requested, for use by the Compliance department.

Client Relationship Management & Risk Mitigation

Schedule interviews with advisors to ensure internal processes and regulatory requirements are adhered to.
Fostering strong relationships with advisors during the branch audit process.
Identifying trends or key risks/themes for training or recommendations for policy changes.

Cross-Functional Collaboration & Process Improvements

Remaining informed of regulatory developments and changes to internal policies and procedures.
Participate in other compliance and supervision-related projects and initiatives as assigned.
Assist in implementing new processes or amending current ones to ensure regulatory requirements are met.
Perform other duties as assigned.

The ideal candidate will possess:

A bachelor’s degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
Completion of CSC or CPH preferred.
Experience in the financial services industry.
2-3 years’ financial services industry experience working in a high-growth environment.
Proficiency with the MS Office (ie. Word, Excel, PowerPoint, Teams), and knowledge of advanced Excel functions (ie. VLOOKUP, pivot tables, etc.).
Demonstrated analytical, organizational, and problem-solving skills.
An 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.
An 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 promptly.
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.

Compensation & Benefits:

Range $52,000 - $65,000 annually.

This range represents Wellington-Altus' expected range of compensation for this position. Actual compensation will vary and will be based on various factors, such as location, skills, experience, and qualification for the role. Compensation for part-time roles will be pro-rated based on number of hours regularly worked. Wellington-Altus' total compensation package for employees may also include discretionary bonuses as well as other perks and rewards. Wellington-Altus also offers health insurance, accident and life insurance, and other unique benefits per location.

Conditions of employment:

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.

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.

Artificial Intelligence (AI) will be used to screen and assess candidates for this role.

More information about working at Wellington-Altus can be found on our website at www.wellington-altus.ca.

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More about this job

Responsibilities

The Compliance Analyst will conduct comprehensive audits of branches to ensure adherence to regulatory requirements and internal policies. They will also prepare audit reports, identify risk trends, and support cross-functional compliance projects.

Requirements

Candidates must have 2-3 years of experience in the financial services industry and a bachelor's degree or diploma in a relevant field. Proficiency in Microsoft Office, particularly advanced Excel, and strong analytical and communication skills are required.

Skills

Compliance auditing
Regulatory reporting
Risk mitigation
Data collection
Financial services industry knowledge
Analytical skills
Problem-solving
Microsoft Office
Advanced Excel
Communication skills
Relationship management
Attention to detail
Time management
Regulatory compliance
Process improvement

Benefits

Health insurance
Accident insurance
Life insurance
Discretionary bonuses

Visa sponsorship

Not detected in the job text

Keywords

Compliance
Audit
Group Audit & Conduct
Investment Dealer
CIRO
IIROC
CSC
CPH
Financial Services
Risk Mitigation
Regulatory Requirements
Branch Audit
Data Analysis
VLOOKUP
Pivot Tables
Reporting
Advisory Firm
Investment Products
Process Improvement
Confidentiality

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