Compliance Analyst - Vancouver, BC

Only for registered members Vancouver, BC, Canada

3 days ago

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Job summary

We are seeking an experienced Compliance Analyst to provide primary compliance support to Wellington-Altus Private Counsel (provincially regulated PM and IFM) and Wellington-Altus USA (SEC Registered Investment Adviser).

Responsibilities

- Monitor and review managed account opening documents
- Conduct follow-up information requests with advisors as needed
- Review outside business activities,
- Collaborate with supervisors, branch audit,
- Assist resolving compliance-related issues.

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