Senior Compliance Analyst Group AML
Location: This posting is for an existing vacancy in Wellington-Altus’s Toronto office.
Our organization:
Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is one of Canada’s Top Growing Companies* and 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. With more than $50 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.
- Report on Business 2025 rankings.
**Investment Executive 2026 Brokerage Report Card.
The opportunity:
Reporting to VP, Audit & Conduct, the Senior Compliance Analyst, Group AML will take responsibility for key deliverables within a compliance project focused on Anti-Money Laundering surveillance. The successful candidate will possess strong organization skills, exceptional attention to detail, and be responsible for leveraging technology to improve the analyst function.
Key responsibilities include:
- Manage and maintain High-Risk Client Lists as determined by daily trade and account supervisor.
- Conduct analysis with respect to AML due diligence leveraging external and internal databases.
- Draft and prepare AML investigative summaries for the Chief Compliance Officers.
- Process manual AML reviews by logging into client applications and ensure classification of accounts is done correctly.
- Maintain AML filing requirements and ensure complete documentation.
- Assist with policies and procedures to ensure compliance with the industry regulations related to Proceeds of Crime Money Laundering and Terrorist Financing Act.
- Inform Senior Management of activity that may involve rule violation or suspicious activity.
- Support the Vice-President, Compliance on interactions with securities regulatory authorities, including inquiries, reviews, investigations, enforcement actions, complaints (internal and external) and production orders.
- Communicate with corporate staff, registrants, and regulators, including IIROC and provincial securities commissions.
- Participate in compliance related projects and initiatives, as assigned.
- Stay updated with regulatory changes.
The ideal candidate will possess:
- University Degree on Finance or Accounting
- Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.
- A minimum of 2 years’ experience in a professional office environment. Previous exposure to AML monitoring or financial services required.
- An equivalent combination of education and experience may be considered.
- Experience in wealth management or other regulated industry is a strong asset.
- CAMS certification an asset.
- Proficiency with the MSOffice suite, including Word, Excel, PowerPoint, Teams, and Outlook.
- Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
- Excellent attitude and commitment to providing extraordinary service.
- An excellent attention to detail.
- Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
- Excellent problem-solving skills.
- Strong organizational skills.
- A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
- Strong critical thinking and written and verbal communication skills.
- An ability to maintain the highest levels of confidentiality.
Compensation & Benefits:
Range $70,000 - $87,500 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. More information about working at Wellington-Altus can be found on our website at www.wellington-altus.com.
