Associate Vice-President, Supervision

Join to apply for the Associate Vice-President, Supervision role at Wellington‑Altus

Location: This on‑site posting is for an existing vacancy in Wellington‑Altus’s 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.

Reporting to the Vice‑President (VP), Supervision & Chief Compliance Officer, the Associate Vice‑President (AVP), Supervision is responsible for supervising and providing primary compliance support for various business lines for Wellington‑Altus Private Wealth ("WAPW").

The AVP, Supervision will be responsible for designing and implementing controls to ensure compliance with regulatory requirements, internal policies, and procedures, while establishing an effective and efficient supervision program. A key aspect of this responsibility is to lead a team of Supervisors to maintain compliance and support the growth of Advisors’ practices.

Additionally, the AVP will represent Compliance on firm‑wide and departmental initiatives, requiring exceptional communication and interpersonal skills, as well as the ability to positively influence and guide organizational change.

• Compliance Leadership & Risk Management
  • Provide monitoring, leadership and coaching to the Supervision team.
  • Act as key compliance relationship manager and handle escalations from the Advisor teams.
  • Create and maintain Compliance Programs for WAPW, provide reporting and lead changes to enhance the compliance program.
  • Foster and maintain strong, collaborative relationships with internal and external stakeholders and promote a strong culture of compliance.
  • Identify emerging risks and trends and make enhancements to existing policies, procedures, and controls to appropriately mitigate risk and improve the efficiency and effectiveness of the firm’s risk‑based supervision program.
  • Participate in or lead compliance and supervision related projects and initiatives, as assigned.
  • Participate in internal compliance reviews and external regulatory reviews, as required.
• Managing the Supervision Program
  • Complete regulatory reviews and approvals of managed account opening/update documents.
  • Conduct reviews for clients of account type suitability, model suitability, alignment of investment holdings with selected model, trading activity, advisor compensation, etc. Complete timely inquiries and follow‑up, as needed, with advisors.
  • Review and approve, where appropriate, outside activities, pledge accounts,coupon arrangements, and third‑party deposits/payments.
  • Monitor high‑risk accounts/clients and submit suspicious transaction reports, where warranted.
  • Complete ongoing communication with other Supervisors, Branch Audit, the Trade Desk and the Managed Accounts Committee to help the group with “Know Your Advisor” obligations.
• Specialԥхьа Projects & Assignments
  • Assist with firm‑wide initiatives relating to the managed account platform and compliance.
  • Conduct research on regulatory requirements.
  • Additional duties/assignments, as directed by the VP.
  • Provide Compliance Advisory Services to all areas of the business as appropriate.
  • Review and update policies and procedures as required or requested.
  • On a proactive basis, conduct trend analysis to identify risks and suggest controls to mitigate risks.
• Education & Training
  • Maintain current knowledge of investment markets, issuer information, firm operational and management updates plus changes in regulations, industry rules and internal policies.
  • Create and ensure timely updates to policies and procedures and supervision guide.
  • Develop and present…