Job Description

Supervisor

Location: This in-office position will be based out of our Toronto or Calgary office.

Our organization

Founded in 2017, Wellington-Altus Financial (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., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With nearly $40 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 2025 Brokerage Report Card.

The opportunity:

Reporting to the Associate Vice-President, Supervision, the Supervisor will be registered with the Canadian Investment Regulatory Organization (CIRO) of Canada. The Supervisor will be responsible for the supervision of WAPW activities to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures.

Key responsibilities include:

• Conducting Tier 1 supervision activities, including the review and approval of daily, monthly, and quarterly trade reports, new account opening and updates, (including managed accounts), and OM approvals.
• Providing guidance and resolution related to compliance matters.
• Participating in internal compliance reviews and/or external regulator reviews.
• Educating and addressing ongoing compliance matters with Registrants.
• Fostering and maintaining strong, collaborative relationships with internal stakeholders and promote a strong culture of compliance.
• Participating in other compliance and supervision-related projects and initiatives as needed.
• Staying informed about current regulatory changes and maintain a strong understanding of internal policy and procedure updates within the firm and industry.
• Continually looking for ways to improve the efficiency and effectiveness of the firm’s system of compliance and supervision.

The ideal candidate will possess:

• Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience
• CSC, CPH and Investment Dealers Supervisors Course.
• Completion of the CIM designation.
• Options supervisor is an asset.
• A minimum of 5 years of progressive experience with a CIRO member dealer, including 2 years in a compliance or supervisory role.

• Designation as Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA).

• CIRO registration as a Supervisor.

• Proficiency in the French language would be considered an asset.

• Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.

• Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.

• Conduct due diligence on Tier 1 activities including the daily, monthly, and quarterly trade reports, reviewing NCAFs or KYC updates, and trade corrections.
• Educate and assist Advisor teams in resolving inquiries and any compliance related matters.
• Participate in or lead compliance and supervision related projects and initiatives, as assigned.
• Foster strong relationships by promoting a robust Compliance culture within the team and encouraging collaboration between Compliance, Supervision, Advisors, and corporate staff.
• Knowledge of the financial services industry, CIRO and provincial securities regulators.
• Strong organizational skills and attention to detail with ability to prioritize effectively, handle multiple tasks in a face-paced environment with changing priorities.
• Strong written, verbal, and interpersonal communication skills.
• Strong analytical and problem-solving skills and sound professional judgment.

Conditions of employment:

• Must be legally eligible to work in Canada.
• Must be able to travel anywhere in Canada from 0-20% of the time.
• 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