Senior Compliance Specialist

Location: This posting is for an existing vacancy in Wellington-Altus' Calgary or Toronto office.

The opportunity:

Reporting to the AVP Supervision, 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.

Key responsibilities include:

Governance Oversight & Program Development & Delivery
• Assess and address training needsby 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 contentthrough customized materials and interactive sessions, ensuring clarity, relevance, and alignment with regulatory expectations and firm standards.
• Monitor and evaluate training effectivenessusing qualitative and quantitative metrics. Provide regular reporting and insights to stakeholders to inform continuous improvement and strategic decision-making.
• Provide ongoing coaching and mentorshipto compliance team members, focusing on consistent delivery of reviews that meet the firm's standards and regulatory requirements.
• Review and enhance compliance processesto identify inefficiencies, gaps, and opportunities for improvement. Recommend and implement changes that strengthen operational integrity and risk mitigation.
• Establish and maintain internal controlsto 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 impactsacross the organization, ensuring teams are prepared and aligned with new requirements through timely updates and process adjustments.
• Analyze compliance data and trendsto uncover insights, identify systemic issues, and recommend strategic improvements that enhance oversight and reduce risk exposure.

Risk Assessment & Mitigation
• 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.

Cross-Functional Collaboration & Process Improvements
• 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.

The ideal candidate will possess:
• 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.
• Minimum of 3 years of experience in a compliance or regulatory environment would be ideal.
• 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.
• Knowledge of the financial services industry, CIRO and provincial securities regulators.
• Proficiency in analysis tools and software (e.g. Power BI).
• 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.

Compensation & Benefits:

Range $80,000 - $100,000 annually.

This range represents Wellington-Altus' 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' 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.
• 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.

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.