Associate Vice-President, Group Audit & Conduct

Wellington-Altus • Toronto, ON

27d • $136,000 - $186,000

About The Position

Reporting to the Vice-President, Group Regulatory Audit & Conduct, the Associate
Vice-President, Group Audit & Conduct (AVP) will support Wellington-Altus
Financial Inc. (WAFI) & all subsidiaries by providing subject matter expertise
regarding compliance to Analysts and/or Advisors.

The AVP will also support the Vice-President in the development of policies, and
procedures, updating the PPM and relevant compliance manuals. The AVP will
assist and guide Analysts with respect to queries from Advisors to support the
firm and its registrants in complying with applicable regulatory requirements.

Requirements

• Degree in Business, Economics or related field.
• A minimum of 10 years of progressive financial services experience, preferably with an CIRO Dealer Member or a registered Portfolio Manager.
• Audit background required/alternatively past Chief Compliance Officer experience.
• Demonstrated in-depth knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
• Industry courses such as the Investment Dealer’s Supervisors Course, Partners, Directors and Senior Officer’s Course.
• Proficiency with the MSOffice suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Familiarity with compliance systems including supervision tools such as Global Relay, Portfolio Aid, OSS, Power BI.
• Leadership & Influence: A proactive, empathetic leader who builds trust, drives accountability, and fosters a collaborative, client‑focused culture; an effective communicator able to listen, influence, and navigate conflict constructively.
• Entrepreneurial & Strategic: Thrives in fast‑paced, evolving environments with a high tolerance for ambiguity; able to move seamlessly between strategic thinking and hands‑on execution.
• Results‑Driven & Accountable: Performance‑focused with strong business acumen and a track record of delivering, scaling results, and meeting strict deadlines.
• Analytical & Problem‑Solving: Demonstrates strong critical thinking and analytical skills, with the ability to diagnose complex issues and implement effective, practical solutions.
• Organized & Detail‑Oriented: Highly reliable with excellent organizational and time‑management skills; able to manage competing priorities, multitask effectively, and maintain attention to detail.
• Compliance & Confidentiality Expertise: In‑depth knowledge of regulatory requirements and compliance standards, with proven experience designing and executing monitoring and testing programs while maintaining the highest levels of confidentiality.

Nice To Haves

• Degree in law, accounting, or risk management designation is considered an asset.
• Experience with U.S. regulatory requirements and the U.S. Securities & Exchange Commission (SEC) and Provincially regulated Portfolio Managers is an asset.
• Audit background required / alternatively past CIA or CCO experience.
• Past RCM (regulatory control management) experience is considered an asset.
• Substantial experience/background in operational controls.
• Experience in developing reporting and programs across multiple wealth management business lines.
• Proven track record in designing and executing monitoring and operational control testing programs across multiple wealth management business lines.
• Courses or designations in accounting, audit, and risk management are considered as assets.

Responsibilities

• Support the Vice-President with on-going responsibilities relating to the WAFI & all subsidiary compliance programs.
• Support the Vice-President with engagements related to external regulatory reviews, including MSC, CIRO, FINTRAC etc.
• Reviewing changes in regulatory requirements to assess impact on firm’s operations or compliance approach.
• Provide guidance to corporate employees and registrants regarding interpretation of relevant rules and compliance with best practices.
• Foster strong relationships with internal and external stakeholders to promote a culture of compliance.
• Proactively identify emerging risks, industry trends, changes in regulatory requirements and current events.
• Escalate issues to the appropriate Senior Leader(s), where warranted.
• Participate in internal compliance reviews and external regulatory reviews, as required.
• Lead the ongoing Branch Review program to ensure we are meeting our regulatory obligations and conduct RCSAs and thematic testing engagements as required by the management team.
• Develop and implement strategies for branch review, monitoring, and testing to ensure alignment with organizational goals and regulatory requirements.
• Establish and maintain policies and procedures to ensure effective branch oversight, complaint handling, and investigation processes. Lead the ongoing development of appropriate policies, procedures, and controls to deliver an effective program of audit & Conduct in branches.
• Prepare and present detailed reports on branch performance, compliance findings, and testing results to senior management and relevant stakeholders.
• Provide recommendations to enhance branch operations, address compliance issues, and support advisor discipline and corrective actions.
• Lead Analysts on a regular basis with respect to Advisor operations and compliance.
• Lead the development and enhancement of internal monitoring and testing controls for compliance, branch, and corporate functions.
• Identify emerging risks and trends and make enhancements to existing policies, procedures, and controls to appropriately mitigate risk and improve the efficiency and effectiveness of the firm’s risk-based testing program.
• Lead, mentor, and develop a high-performing team responsible for branch review, monitoring, testing, and complaint management.
• Foster a culture of excellence, collaboration, adaptability, and continuous improvement within the team.
• Perform other duties as assigned.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level