Compliance Analyst, Branch Audit

at  WellingtonAltus Private Wealth Inc

EXPERIENCE

Required

• 1 - 3 years: Financial services industry experience

• Conducting comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
• Executing audits based on a variety of topics including but not limited to KYC, KYP, investment suitability, AML, marketing, trade execution, etc.
• Scheduling interviews with Investment Advisors to ensure internal processes and regulatory requirements are adhered to.
• Preparing branch audit reports in a timely manner following the completion of branch audits.
• Assisting in the implementation of new processes or amending current ones to ensure regulatory requirements are being met.
• Keeping apprised of regulatory developments and changes to internal policies and procedures.
• Supporting the collection of data for compliance-related and/or regulatory requests (e.g., IIROC).
• Preparing reports, as requested, for use by the Compliance Department.
• Participating in other compliance and supervision-related projects and initiatives as assigned.
• Performing other duties as assigned.