New Job Chief Compliance Officer, Wellington-Altus Private Counsel In Manitoba

Chief Compliance Officer, Wellington-Altus Private Counsel

Application Deadline: July 30, 2022

Location: This position can be located anywhere in Canada.

Our organization:

Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel and Wellington-Altus Private Wealth —the top-rated* wealth advisory company in Canada and one of Canada's Best Managed Companies. With approximately $20 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 2021 Brokerage Report Card

The opportunity:

Reporting to the Executive Vice-President & Chief Risk Officer (CRO) of the Wellington-Altus group of companies, the Chief Compliance Officer , Wellington-Altus Private Counsel (CCO) will be part of an agile, industry-leading senior management team responsible for delivering innovative and effective solutions to support WAPC portfolio managers and their clients.

Leveraging their experience in a compliance leadership role, the CCO will ensure the compliance framework and supervision structure of the company meets all regulatory requirements, including: maintaining an effective compliance communication and training program; identifying areas of vulnerability and risk; collaborating with other departments to ensure compliance issues are identified and resolved; and ensuring a broad understanding of, and adherence to, regulatory requirements across the organization.

The ideal candidate will possess:

• 10+ years’ experience in regulatory compliance in roles of increasing responsibility, including a minimum of 2 years in a leadership role as a senior compliance executive of a registered portfolio management firm.
• Expert knowledge of the Canadian regulatory framework, including an intimate understanding of provincial securities laws and regulations. Familiarity or experience with the United States regulatory framework and requirements considered an asset (i.e. SEC, FINRA).
• Strong technical skills, sharp intellect and the ability to understand difficult, complex compliance and business issues while providing practical, workable solutions to the business.
• Established, collaborative working relationships with provincial securities regulators.
• A post-secondary degree in business, accounting, finance, or similar field of study.
• A Law degree, CPA designation, or previous experience as a regulator considered a strong asset.
• Successful completion of the Chief Compliance Officers Qualifying Examination and the ability to maintain the registration in good standing.
• Excellent written and oral communication skills.

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.