Registrations Officer, Temporary

Aviso Wealth:

At Aviso, we are dedicated to improving the financial well-being of Canadians. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. Working with talented and energetic professionals who exemplify our values every day, you will quickly notice that our people and dynamic ‘oneaviso’ culture sets us apart. If you are looking for interesting and challenging work, at a company committed to its people, find out more about what Aviso has to offer at 

The Opportunity:

We’re looking for a Registrations Officer to join our Registrations team on a 12 month contract.

Reporting to the Manager, Registrations the Registrations Officer is responsible for all aspects of registration, licensing and E&O insurance with the various provincial securities commissions, provincial insurance councils, self-regulatory organizations (SROs) and E&O provider for all of the lines of business at Aviso Wealth. In addition, this position is responsible for maintaining current databases and records related to registrations/licensing, developing and communicating registration/licensing requirements and procedures throughout Aviso Wealth Inc. and responding to specific inquiries and issues.

Who you are:

• Service – You consider both internal and external stakeholders and demonstrate intent of understanding and putting the clients’ needs first. You advocate service excellence and work to deliver solutions that meet the needs. You proactively develop strategic partnerships that allow Aviso Wealth to become a trusted advisor and partner
• Execution – You are committed to achieving your goals and to succeed. This includes focusing on “getting things done”, as well as recognizing and taking advantage of opportunities as they arise. You are consistently looking for ways to improve your personal best and see value in continuous improvement. You take accountability for your actions and learn from mistakes
• Collaboration – You work collaboratively with others with the common goal of driving positive results. Making meaningful contributions to your team to achieve organizational goals is a priority. You proactively encourage collaboration, build trust and inclusion, and work to establish effective relationships both inside and outside of the organization

What your day looks like:

• Process registration forms and related materials with respect to licensing, material changes, and terminations, through the National Registration Database (NRD) and insurance councils for Aviso’s dealing representatives, supervisors, branch managers, portfolio managers, executives, permitted individuals, branches and sub-branches
• Escalate applications and material changes to the Manager, Registrations where screening guidelines are not met, a financial/regulatory/criminal/civil or other misconduct is disclosed, as well as additional requests outside of documented processes
• Track registrants and licensees to ensure all required educational and proficiency requirements are satisfied and individuals comply with the Securities/Insurance Act and SRO restrictions for the relevant categories of registration as well as track other licenses, designations, and outside activities
• Process applications, changes and terminations to Errors & Omissions Insurance coverage, coordinating with E&O provider, as applicable
• Liaise with Aviso staff, Registrations personnel, provincial regulators, E&O provider and Credit Unions on registration related matters, to obtain information and materials related to registrations and E&O, to ensure compliance with regulatory requirements, and to co-ordinate advisor onboarding and offboarding processes
• Respond to financial institution registration and E&O related inquiries and requests from the regulators and from within Aviso and conduct relevant research as required and provide resolutions for any outstanding registration issues and deficiencies
• Maintain current databases (i.e. CLRS, Univeris, Supervision INSIGHTS, NRD, WIP spreadsheet, Advisor Listing spreadsheet) with applicable registration and related information
• Stay current on regulatory registration/licensing requirements and legislative changes affecting the financial industry
• Provide assistance and feedback to the compliance team with the delivery of registration/licensing/E&O policies and procedures and with forms and document templates which affect Aviso registrations and licensing
• Respond to MFDA, IIROC and Insurance accounting inquiries and reconcile registration fees
• Tracking of all QA and QAM New Advisor/Rep Supervision

Your experience and skills:

• Successful completion of CSC or IFIC (preferably CSC) and CPH within 1 year of joining Aviso
• Intermediate skills in MS Word, Excel & Outlook and ability to pick up new applications quickly
• Two years’ experience in investment/banking/mutual fund/insurance dealer and/or securities/insurance regulator
• Experience in operating within the Credit Union System is an asset
• Extremely detailed oriented with strong organizational, time management and analytical skills
• Proficient in completing accurate, clear and concise documentation
• Ability to work independently with minimum supervision and a high degree of personal initiative
• Ability to deal with stressful situations in a diplomatic fashion
• Excellent analytical skills with the ability to reconcile complex data from different sources
• Fluent communication skills in English are required and bilingual skills in French are an asset

Why Aviso Wealth?

At Aviso Wealth, you will find a dynamic and inclusive culture that rewards innovation and celebrates success.
Here are a few things that set us apart:

• Competitive compensation package that rewards and recognizes individual contributions
• Excellent health, dental and insurance benefits to meet the diverse needs of our employees
• Generous vacation time, fitness benefit, parental leave top-up options
• Matching contributions to our retirement program
• Commitment to the continuous improvement of our staff through learning & development and an education assistance program
• Regular social events to foster teamwork

Your Information

By submitting your application, you consent to the collection, use, and disclosure of your provided personal information for the purposes of assessing your qualifications and suitability for employment with Aviso. Your information will be handled in accordance with applicable Canadian privacy laws, including the Personal Information Protection and Electronic Documents Act (PIPEDA) and relevant provincial legislation. Your data may be shared with authorized personnel involved in the recruitment process and retained only as long as necessary to fulfill these purposes or as required by law.

Further information is available on the Privacy link on our Career Page –  Privacy Policies

Equal Employment Opportunity

Aviso welcomes and encourages applications from all qualified individuals including persons with disabilities. If you require an accommodation, we will work with you to meet your needs in all stages of the hiring process.

We thank all applicants for their interest, however, only those selected for further consideration will be contacted.

No recruiters or agencies, please.

Company Overview:

Aviso is a leading wealth management and investment services provider for the Canadian financial industry, with approximately $145 billion in total assets under administration and management, and over 1,000 employees. We’re building a comprehensive, technology-enabled, client-centric wealth services ecosystem. Our clients include our partners, advisors, and investors. We’re a trusted partner for nearly all credit unions across Canada, in addition to a wide range of portfolio managers, investment dealers, insurance and trust companies, and introducing brokers. Our partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving, highly competitive industry. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager, NEI Investments, specializes in investing responsibly. Our online brokerage, Qtrade Direct Investing®, empowers self-directed investors, and our fully automated investing service, Qtrade Guided Portfolios®, serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms. We have offices in Toronto, Vancouver, Montreal, and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals, Co-operators/CUMIS, and Desjardins.  We’re proud to power businesses that empower investors .

A career with Aviso means being part of a group of talented, energetic professionals who live their values every day, and belonging to an organization dedicated to your success and career development. If you’re looking for interesting and challenging work, at a company committed to its people, apply to join our team.

Salary

This position is posted with an expected salary range of $60,000 - $69,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.