Supervisor

Supervisor

Location:This in-office position will be based out of our Calgary or Toronto office.

Our organization:

Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., and Wellington-Altus Private Wealth Inc.-the top-rated* investment dealer in Canada and one of Canada's Best Managed Companies. With more than $35 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.

*Investment Executive 2024 Brokerage Report Card.

The opportunity:

Reporting to the Associate Vice-President, Supervision, the Supervisor will be registered with the Canadian Investment Regulatory Organization (CIRO) of Canada and is responsible for supervising activities of registrants of the firm. The Supervisor will manage supervision for WAPW to ensure the firm and its registrants continue to adhere to all regulatory requirements, and internal policies and procedures.

Key responsibilities include:

• Conducting due diligence on Tier 1 activities including the daily, monthly, and quarterly trade reports, reviewing NCAFs or KYC updates, trade cancels and corrections.
• Educating and assisting Advisor teams in resolving inquiries and any compliance related matters.
• Raising knowledge level regarding regulatory compliance and supervision practices and processes.
• Fostering and maintaining strong, collaborative relationships with internal stakeholders and in doing so, promoting a strong culture of compliance.
• Providing guidance and resolution related to compliance matters
• Educating and addressing ongoing compliance inquiries with Registrants.
• Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
• Continually looking for ways to improve the efficiency and effectiveness of the firm's system of compliance and supervision.
• Staying informed about current regulatory changes and maintain a strong understanding of internal policy and procedure updates within the firm and industry.
• Participate in or lead compliance and supervision related projects and initiatives, as assigned.

The Ideal candidate will possess:

• A Bachelor's degree in business administration, finance, or similar field of study.
• Minimum of 5 years of progressive experience with CIRO Dealer Member, including 2 years in a compliance or supervisory role.
• Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
• Current registration in the Supervisor category with CIRO.
• Successful completion of CSC, CPH, and Investment Dealers Supervisors Course.
• Completion of CIM designation and/or options supervision courses is an asset.
• Proficient in French language would be considered an asset.
• Familiarity with National Bank Independent Network (NBIN) back-office systems, procedures and reports an asset.
• Foster strong relationships by promoting a robust Compliance culture within the team and encouraging collaboration between Compliance, Supervision, Advisors, and corporate staff.
• Knowledge of the financial services industry, CIRO and provincial securities regulators.
• Strong organizational skills and attention to detail with ability to prioritize effectively, handle multiple tasks in a face paced environment with changing priorities.
• Developed written, verbal and interpersonal communication skills.
• Strong analytical and problem-solving skills and sound professional judgement.

Conditions of Employment:

• Must be legally eligible to work in Canada.
• Current registration in the Supervisor category with CIRO.
• Must be able to travel within 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.

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 atwww.wellington-altus.com.