Regulatory Compliance and Complaints Coordinator
Location: This posting is for an existing vacancy in Wellington-Altus’s Winnipeg office.
Our organization:
Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is one of Canada’s Top Growing Companies* and 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. With more than $50 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.
- Report on Business 2025 rankings.
**Investment Executive 2026 Brokerage Report Card.
The opportunity:
Reporting to the Vice-President, Group Legal Compliance & Complaints, the Regulatory Compliance and Complaints Coordinator is responsible for supporting and the coordination of the VP’s mandate, including the firm's compliance, complaints management, governance, and regulatory initiatives / projects across the organization.
This role serves as a key coordinator of the VP, Group Legal Compliance and Complaints in tandem with the Chief Compliance Officers (CCOs), advisors, and other business stakeholders to ensure compliance matters, regulatory complaints, governance initiatives, and special projects are effectively managed, tracked, and completed.
The successful candidate will possess exceptional organizational, communication, and writing skills, demonstrate sound judgment and discretion, and thrive in a dynamic, fast-paced environment requiring the simultaneous management of multiple priorities.
Key responsibilities include:
- Complaints Coordination
- Coordinate and case manage regulatory client complaints from intake through resolution based on the direction of the VP, Group Legal Compliance and Complaints, who is the firm’s Designated Complaints Officer (DCO).
- Assist in the preparation and drafting of complaint responses and regulatory correspondence under the direction of the VP, Group Legal Compliance and Complaints.
- Liaise with insurers regarding claims arising from regulatory complaints, including providing supporting materials as requested by insurers.
- Track and monitor complaint files, key deadlines and resolution activities based on the regulatory obligations and the firm’s standard operating procedures.
- Assist with preparing summaries and status updates for the CCOs and Ultimate Designated Person (UDP).
- Maintain accurate records and documentation related to complaint investigations and outcome.
- Non-Resident Client Legal Opinion Program
- Coordinate the administration of the firm's non-resident client policy.
- Organize, track, and maintain legal opinions obtained from external counsel in support of the firm's non-resident client policies.
- Assist with the facilitation of the onboarding process for non-resident clients by coordinating with advisors and business units.
- Communicate legal opinion findings and practical business implications to advisors and other stakeholders about non-resident jurisdictions.
- Referral Arrangements Program
- Coordinate the administration, tracking, and maintenance of referral arrangements and related documentation.
- Provide guidance and support to advisors and business stakeholders regarding referral arrangement requirements based on firm policy and procedures.
- Compliance Governance and Reporting
- Assist with developing and maintaining governance trackers, dashboards and records management systems that improve the governance of the firm.
- Assist with the creation of documentation and records related to governance committees, special compliance initiatives, and regulatory projects.
- Assist in maintaining policies, procedures, registers, and compliance records related to the mandate of the VP, Group Legal Compliance and Complaint.
- Special Projects and Strategic Initiatives
- Support the VP, Group Legal Compliance and Complaints in the execution of strategic regulatory and compliance initiatives.
- Assist in modernizing and strengthening the firm's compliance framework, governance processes, and recordkeeping practices.
- Identify opportunities to improve efficiency through enhanced processes, controls, and reporting mechanism.
- Other Duties
- Contribute to a collaborative and team-oriented culture by assisting colleagues and business units as needed.
- Perform other duties and special assignments as delegated by the VP, Group Legal Compliance and Complaints.
The ideal candidate will possess:
- Post-secondary education in Business, Commerce, Finance, Law, or a related field, including completion of a Legal Assistant, Paralegal, or equivalent diploma/certificate program.
- An equivalent combination of education and relevant experience will be considered.
- 2+ years of related work experience in compliance, risk management, legal operations, governance, or a related field is an asset.
- Experience supporting legal counsel, compliance officers, or senior executives.
- Experience within a regulated industry, particularly financial services, wealth management, securities, insurance, or financial planning.
- Knowledge of Canadian regulatory and compliance frameworks relevant to financial services.
- This position is well suited to recent graduates or early-career professionals looking to build a career in regulatory compliance and financial services.
- Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
- Exceptional organizational and project management skills with the ability to manage multiple priorities simultaneously.
- Strong verbal and written communication skills, including the ability to communicate effectively with senior stakeholders.
- Excellent drafting and writing skills with an ability to prepare clear, concise, and professional correspondence and reports.
- High degree of discretion, professionalism, and ability to manage confidential and sensitive client and firm information.
- Strong attention to detail and analytical thinking skills.
Conditions of employment:
- Must be legally eligible to work in Canada.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.
Wellington-Altus Private Wealth is strongly committed to equity and diversity within its community and welcomes applications from women, racialized persons, Indigenous peoples, persons with disabilities, and persons of all sexual orientations and genders. All qualified individuals who would contribute to the further diversification of our organization are encouraged to apply.
If you require accommodation for the recruitment process, please let us know at the point of application.
To apply:
Click the Apply for This Job button to submit your resume, cover letter and salary expectations. You will be contacted if you are selected for an interview. More information about working at Wellington-Altus can be found on our website at www.wellington-altus.com (http://www.wellington-altus.com/).
