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Added 25 mins ago
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Technical Business Systems Analyst, AML
Yochana
Toronto, ON
- Contract
Role: : Technical Business Systems Analyst, AML – Toronto, ON (Hybrid)
Added 25 mins ago
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Fraud Detection Analyst
Tangerine
Toronto, ON
- Contract
The Fraud Detection Analyst contributes to the overall success of the Tangerine Fraud Operations Team in Canada by detecting, investigating and mitigating potentially fraudulent activity…
Added 25 mins ago
AC
Project Manager
ATS Corporation
Cambridge, ON
- Full-time
Working with the financial analyst, ensure all billings and invoicing is submitted on time. Ensure all project deliverables are accomplished and supporting documentation is prepared for…
Added 25 mins ago
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Senior Java Developer - Vice President
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Mississauga, ON
- Full-time
We are seeking for a “Technology Lead Analyst" to join our team; this is a senior role responsible for overseeing the design and implementation of new or enhanced application systems in…
Added 25 mins ago
AP
Financial Analyst
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- Full-time
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Added 40 mins ago
HI
Risk Analyst
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Toronto, ON
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Added 40 mins ago
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Internal Controls Governance Analyst - 12-month Contract
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Toronto, ON
- Full-time
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Added 40 mins ago
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Risk Analyst
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Toronto, ON
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Added 40 mins ago
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Bilingual Fraud Analyst - Cards
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Toronto, ON
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Added 40 mins ago
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Senior Financial Analyst, Supply Chain
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Toronto, ON · Consilium Place
- Full-time
Job Number: JR107573
Job Title: Senior Financial Analyst, Supply Chain
Union:
Union:
Job Category: Professional
Hospital Location: Consilium Place
Job Type:…
Added 40 mins ago
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Senior Business Systems Analyst
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Toronto, ON · Waterloo, ON
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Added 40 mins ago
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Program Manager, Carrier Operations & Governance
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Remote, Canada
- Full-time
- Remote
Join Twilio as a Program Manager, Carrier Operations & Governance - a tech-forward business analyst and program manager within a brand-new function built from the ground up to reshape how…
Added 55 mins ago
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Risk Analyst - Intermediate (Consultant, Governance and Controls)
Raise
Toronto, ON
- Contract
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Added 55 mins ago
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GMS Analyst (Gas Management Services)
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Added 55 mins ago
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Pricing Analyst--Analyste de la tarification
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Added 55 mins ago
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Bilingual Lease Analyst (FR/ENG)
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Toronto, ON
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The Lease Analyst, in conjunction with our RealLease technology platform, supports our clients nationwide in effectively and efficiently managing their leased portfolios. From abstracting…
Added 55 mins ago
Total Rewards Analyst
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Ensure compliance with applicable legislation, company policies, governance standards, and reporting requirements related to compensation and benefits programs.
Added 55 mins ago
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Senior Business Analyst – Financial Services / Platform Transformation
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Facilitate workshops and working sessions with business SMEs, Product, Compliance, Operations, vendors, and technology stakeholders.
Added 55 mins ago
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Senior Servicing Analyst
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Added 55 mins ago
Tax and Catalog Analyst
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Added 55 mins ago
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CAC052: Release / Class Spclst
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Added 55 mins ago
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Bilingual Fraud Analyst - Cards
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Added 55 mins ago
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EPIC Security Analyst/Consultant
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We are looking for an experienced EPIC Security Analyst / Consultant to support the implementation, configuration, maintenance, and optimization of security within the Epic EHR environment.…
Added 55 mins ago
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Epic Beaker Analyst
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An Epic Beaker Analyst configures, implements, and supports the Epic Beaker Laboratory Information System (LIS), bridging clinical workflows and IT by designing system builds, managing…
Added 55 mins ago
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Senior Security Analyst - GRC
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- Full-time

Wellington-Altus

Supervisor

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: A minimum of 5 years of progressive experience with a CIRO member dealer, including 2 years in a compliance or supervisory role.
Posting language: English
Posted: Nov 3, 2026

Original job description

Supervisor

Location: This posting is for an existing vacancy in Wellington-Altus’s Toronto or Calgary 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, Supervision, the Supervisor will be responsible for the supervision of WAPW activities to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures. This position requires registration with the Canadian Investment Regulatory Organization (CIRO) of Canada.

Key Responsibilities Include:

Tier 1 Supervision & Risk Management:

Conducting due diligence on Tier 1 supervision activities, including the review and approval of daily, monthly, and quarterly trade reports; review NCAFs/KYC updates (including managed accounts); and assess and approve OM submissions.
Providing guidance and resolution related to compliance matters.
Participating in internal compliance reviews and/or external regulator reviews.
Assisting Advisor teams in resolving inquiries and addressing compliance issues quickly and accurately.

Training & Cross-Functional Collaboration:

Educating Registrants on compliance obligations and provide ongoing support regarding supervision and regulatory requirements.
Fostering strong, collaborative working relationships across Compliance, Supervision, Advisor teams, and corporate departments to promote a robust culture of compliance.
Participating in other compliance and supervision-related projects and initiatives as needed.

Process & Policy Improvements:

Staying informed of regulatory changes and maintain a strong understanding of internal policy and procedure updates within the firm and across the industry.
Identify opportunities to enhance the efficiency and effectiveness of the firm’s compliance and supervision systems.
Contributing to the continuous improvement of processes, ensuring alignment with CIRO rules and provincial securities legislation.

The Ideal Candidate Will Possess:

Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
A minimum of 5 years of progressive experience with a CIRO member dealer, including 2 years in a compliance or supervisory role.
CIRO registration as a Supervisor.
Designation as Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA).
Proficiency in the French language would be considered an asset.
Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
Proficiency with the MS Office 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.
Strong organizational skills, and attention to detail with the ability to prioritize effectively and handle multiple tasks in a high-volume, fast-paced work environment.
Strong written and verbal communication skills, with the ability to communicate effectively with both Advisors and Corporate staff.
Strong analytical, problem-solving skills, and demonstrating sound professional judgement with an ability to collaborate.
Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
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 $80,000.00 - $120,000.00 annually.

This range represents Wellington-Altus's 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's 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.
Must be able to travel anywhere in Canada up to 0 - 20% of the time.
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.com.

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More about this job

Responsibilities

The Supervisor is responsible for overseeing firm activities to ensure adherence to regulatory requirements and internal policies. Key tasks include conducting Tier 1 supervision, managing risk, and providing guidance on compliance matters to Advisor teams.

Requirements

Candidates must have a bachelor's degree and at least 5 years of experience with a CIRO member dealer, including 2 years in a compliance or supervisory role. A Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA) designation is required.

Skills

Compliance
Supervision
Risk management
Due diligence
Regulatory reporting
CIRO regulations
Securities legislation
Analytical skills
Problem-solving
Communication
Organizational skills
Attention to detail
MS Office suite
Critical thinking
Professional judgment

Benefits

Health insurance
Accident insurance
Life insurance
Discretionary bonuses

Visa sponsorship

Not detected in the job text

Keywords

Supervisor
Compliance
CIRO
Investment dealer
Risk management
Tier 1 supervision
NCAF
KYC
OM submissions
Regulatory framework
Securities legislation
CIM
CFA
MS Office
Financial services
Private wealth
Due diligence
Audit
Reporting
Policy improvement

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