Senior Compliance Specialist

Wellington-Altus•Calgary, AB

3d•CA$80,000 - CA$100,000•Onsite

About The Position

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 over $45 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. The Senior Compliance Specialist will be responsible for developing an ongoing testing program of the Compliance Supervision duties and conducting training where needed to ensure staff are performing at the same standards for each process. This role is critical in ensuring that the Compliance team adheres to regulatory requirements and internal policies. This position will analyze and support Compliance’s programs through change management, day-to-day support and implementation.

Requirements

Minimum of 3 years of experience in a compliance or regulatory environment would be ideal.
Knowledge of the financial services industry, CIRO and provincial securities regulators.
Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
Familiar with compliance systems and tools for supervision & communications monitoring
Coaching, training, and testing skills
Excellent communication and interpersonal skills.
Ability to manage multiple priorities and work effectively under pressure.
High attention to detail and accuracy.
Strong ethical standards and integrity.
Ability to work independently.
Ability to work collaboratively within a team.
Proactive approach and a strong commitment to continuous improvement.
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.
Must be able to travel for business trips up to 5% of the time.

Nice To Haves

Bachelor’s degree in business administration, finance, accounting, or a related field would be an asset.
Industry courses such as CSC would be considered assets.
Experience collaborating with IT partners to effectively implement and manage technology solutions is an asset.
Experience in data analysis and risk management is highly desirable.
Proficiency in analysis tools and software (e.g. Power BI).

Responsibilities

Assess and address training needs by designing targeted programs that support compliance and supervision objectives, including a robust quality control framework aligned with Tier 1 Supervision duties.
Develop and deliver training content through customized materials and interactive sessions, ensuring clarity, relevance, and alignment with regulatory expectations and firm standards.
Monitor and evaluate training effectiveness using qualitative and quantitative metrics. Provide regular reporting and insights to stakeholders to inform continuous improvement and strategic decision-making.
Provide ongoing coaching and mentorship to compliance team members, focusing on consistent delivery of reviews that meet the firm’s standards and regulatory requirements.
Review and enhance compliance processes to identify inefficiencies, gaps, and opportunities for improvement. Recommend and implement changes that strengthen operational integrity and risk mitigation.
Establish and maintain internal controls to ensure adherence to applicable regulatory requirements and internal policies, supporting a culture of accountability and compliance.
Stay informed on evolving regulations and industry best practices, proactively updating the compliance framework to reflect changes and maintain its effectiveness and relevance.
Communicate regulatory changes and operational impacts across the organization, ensuring teams are prepared and aligned with new requirements through timely updates and process adjustments.
Analyze compliance data and trends to uncover insights, identify systemic issues, and recommend strategic improvements that enhance oversight and reduce risk exposure.
Maintain a strong understanding of the CIRO requirements of the Compliance Supervision Program.
Conduct compliance risk assessments and develop strategies to mitigate identified risks.
Support the implementation of risk management measures.
Stay current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.
Assess and enhance compliance frameworks: Conduct thorough evaluations of existing compliance and supervision processes to identify inefficiencies, gaps, and areas for improvement. Develop actionable recommendations to strengthen regulatory adherence and operational effectiveness.
Lead cross-functional implementation efforts: Collaborate with teams across Legal, Risk, Operations, and Technology to design and embed process enhancements. Ensure alignment with regulatory expectations and internal governance standards while promoting sustainable adoption.
Drive strategic compliance initiatives: Actively contribute to enterprise-wide projects and initiatives related to compliance, supervision, and risk management. Provide subject matter expertise and leadership to ensure initiatives are executed with integrity and precision.
Champion continuous improvement: Partner with internal stakeholders to identify opportunities for innovation in compliance practices. Facilitate workshops, feedback loops, and pilot programs to test and refine new approaches.
Strengthen stakeholder relationships: Foster strong, cooperative partnerships with key internal stakeholders—including senior leadership, business units, and control functions—to ensure transparency, accountability, and shared ownership of compliance outcomes.