Compliance Officer, Correspondent and Institutional

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 Compliance Officer to join our Compliance team.

Reporting to the Director Correspondent & Institutional Compliance, the Compliance Officer is responsible for primarily day-to-day compliance activities for the Aviso Correspondent Partners business line of Aviso Financial Inc. and will occasionally assist with the other business lines. The Compliance Officer will be registered as a Designated Supervisor with the Canadian Investment Regulatory Organization (CIRO)

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:

• New Account and material change approvals for Portfolio Manager firms and Institutional Accounts
• Monitor for Manipulative and Deceptive trading activities and other securities regulations violations, including but not limited to Universal Market Integrity Rules (UMIR)
• Lead or assist with compliance projects and initiatives
• Assist in the preparation of the business/new accounts/compliance monthly meeting
• Reviews, annual certifications, and compliance manual updates
• Implement, amend and enhance policies and procedures
• Liaise with Introducing Broker and Portfolio Manager firms on compliance matters and issues, working towards resolutions
• Provide day-to-day compliance support to the business line in onboarding new or potential clients offering solutions in a collaborative manner

Requirements

Your experience and skills:

• Post-secondary degree in a related field
• 3 - 5 years’ work experience in an IIROC environment
• Sound knowledge of the rules and regulations governing the securities industry (IIROC, UMIR, CSA, etc.)
• Investment Dealer Supervisor course and minimum two years of relevant experience working for an investment dealer required for registration as an IIROC Designated Supervisor
• Options Supervisor course and, both the Derivatives Fundamentals Course and the Options Licensing Course, or Derivatives Fundamentals and Options Licensing Course (all courses to be completed within 3 months)
• Excellent analytical and investigative skills with strong attention to detail
• Excellent interpersonal skills and effective presentation skills
• Ability to work with minimum supervision with a strong commitment to customer service
• Disciplined work ethic and committed to producing excellence in work output
• Proficient in Microsoft Outlook, Excel, and Word
• Fluent communication skills in English are required and bilingual skills in French are an asset

Benefits

Why Aviso Wealth?

At Aviso, 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 $80,000 - $90,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.