Wellington-Altus Private Wealth Inc.
Compliance Executive Role at Wellington-Altus
Job Description
Join Wellington-Altus as a Compliance Executive in Toronto, leading critical compliance programs and enhancing oversight. This role is pivotal in driving regulatory adherence and process efficiency.
Reporting to the Vice-President, you will play a crucial role as the Associate Vice-President of Compliance. Your responsibilities include overseeing compliance supervision, leading program development, and proactively managing regulatory risks. You will collaborate closely with various departments to foster a culture of compliance, ensuring that best practices are maintained throughout the organization.
Key Responsibilities:
• Supervise compliance activities and trade framework reviews
• Lead the growth of the Tier 2 Compliance initiative
• Design and maintain account supervision programs
• Analyze emerging risks and suggest proactive measures
• Act as a senior liaison during compliance audits
Requirements:
• Degree in business administration or finance
• Over...
Reporting to the Vice-President, you will play a crucial role as the Associate Vice-President of Compliance. Your responsibilities include overseeing compliance supervision, leading program development, and proactively managing regulatory risks. You will collaborate closely with various departments to foster a culture of compliance, ensuring that best practices are maintained throughout the organization.
Key Responsibilities:
• Supervise compliance activities and trade framework reviews
• Lead the growth of the Tier 2 Compliance initiative
• Design and maintain account supervision programs
• Analyze emerging risks and suggest proactive measures
• Act as a senior liaison during compliance audits
Requirements:
• Degree in business administration or finance
• Over...