CIRO Compliance Supervision Supervisor
Wellington-Altus Private Wealth Inc.
This position requires local presence. Please view similar jobs below.
Apply CIRO supervision expertise in Toronto or Calgary, reviewing trade reports, NCAFs, KYC updates, and OM submissions for regulatory compliance.
Wellington-Altus Private Wealth seeks a Supervisor reporting to the Associate Vice-President, Supervision. The position oversees WAPW activities, supports registrants, and ensures adherence to CIRO requirements, provincial securities legislation, and internal policies. You will guide compliance resolutions, review supervision activities, and help maintain effective controls.
Key Responsibilities:
- Review and approve daily, monthly, and quarterly trade reports
- Review NCAFs and KYC updates, including managed accounts
- Assess and approve offering memorandum submissions
- Provide guidance and resolution for compliance matters
- Participate in internal and external regulatory reviews
Requirements:
- CIRO registration as a Supervisor
- At least five years with a CIRO member dealer
- Two years in compliance or supervisory responsibilities
- Bachelor’s degree or equivalent education and experience
- Knowledge of CIRO rules and provincial securities legislation
Bring analytical judgment, regulatory knowledge, and detailed supervision experience to Wellington-Altus’s compliance function in Toronto or Calgary.
#J-18808-LjbffrVacancy posted 6 hours ago
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