Wealth Compliance Officer
Full-time
Thrive Wealth Management Ltd.
Were looking for a collaborative, detailed oriented Wealth Compliance Officer to join our Thrive Wealth Management team, in partnership with Aviso Financial Inc. In this role you will provide mutual fund compliance supervision and guidance for licensed advisors ensuring in alignment with regulatory and dealer requirements. Youll work with an experienced team of credit union employees as well as colleagues within the credit union walls to ensure mutual fund sales, services and activities meet compliance requirements.
Various Thrive locations will be considered however not all locations may be able to accommodate this role. How youll spend your time:- Providing developmental and technical support to strengthen mutual fund registered advisors compliance knowledge, routines and best practices.
- Reviewing and evidencing approval for new accounts, trades, KYC updates and account changes
- Ensuring sales and service activities meet compliance regulations to mitigate risk for the client, advisor and the Credit Union.
- Collaborating with the team and proactively identify and recommend areas of efficiency aligned to policy and procedure
- Delivering organization-wide consistency when adopting process changes. The way people describe you:
- Detail-oriented and confident in mastering procedures, problem solving, and communicating solutions.
- An excellent communicator with the ability to work closely with individuals in person and remotely.
- Informal leader who builds trusting working relationships with our credit union partners and staff.
- A natural team player with proven success in customer service. The experience you bring:
- 2+ years mutual fund compliance experience
- CSC or IFIC
- Branch Compliance Manager/ Officer Course (consideration will be given to those with the ability to obtain course ASAP)
- Extensive industry knowledge and understanding of compliance requirements
Vacancy posted 1 day ago
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