Compliance Analyst, WAPC and WAUSA (Vancouver)

Compliance Analyst - WAPC and WAUSA

Location: Wellington-Altus office in Winnipeg, Toronto, Burlington, or Vancouver.

Responsibilities

• Perform regulatory reviews of managed account opening and updating documents.
• Complete reviews related to account and model suitability, investment consistency, trading activity, advisor compensation, and conduct follow‑up and information requests with advisors as needed.
• Review outside business activities, global relay, personal trade monitoring, pledge accounts, referral arrangements, and third‑party deposits/payments.
• Monitor higher‑risk accounts and assist in preparing suspicious transaction reports when appropriate.
• Collaborate with Supervisors, Branch Audit, the Trade Desk, and the Managed Accounts Committee as required.
• Provide guidance and support to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory ...