Trade Surveillance Compliance Officer

As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. We’re looking for a Trade Compliance Officer to join our Compliance team.
Reporting to the Director of Trade Compliance, the Compliance Officer, Trade Compliance is responsible for day-to-day trade compliance activities of for all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This includes daily and monthly trade surveillance reviews and quarterly trend analysis to detect manipulative and deceptive trading activities, in accordance with regulatory requirements established by Canadian Investment Regulatory Organization (CIRO), and the provincial Securities Commissions, as well as AFI internal policies and procedures. You are consistently looking for ways to improve your personal best and see value in continuous improvement. You proactively encourage collaboration, build trust and inclusion, and work to establish effective relationships both inside and outside of the organization
Daily and Monthly review of compliance reports for Manipulative and Deceptive trading activities and/or other securities regulations violations (i.e. high close, spoofing, wash trades, insider trading trade markers)
PRO account trading reviews, amend and/or enhance policies and procedures and update process documents
New Account Approvals for online brokerage and institutional accounts, reviewing credit reports, assessing account appropriateness (if applicable), and validating complete documentation
Daily and Monthly review of supervision reports for CIRO Rules, and prepare/review and submit regulatory reports (i.e. PRO account activity, $1500 Reviews, MTRS reporting, Short report, OTCBB reporting)
Communicating with advisors/introducing brokers regarding any trade compliance concerns and tracking issues to ensure resolution
Provide day to day trade compliance education support to all business lines via the Trade Compliance email box and/or by preparing Compliance Newsletter content

Post secondary degree in related field

• 3 - 5 years industry work experience, minimum 4 years in a specialized role
• Knowledge and understanding of the mutual funds industry and the related legislative and regulatory framework
• CIRO - Registration as a supervisor as equity or options or willing to take it for futures
• Ability to work with minimum supervision with a strong commitment to customer service
• Proficient in Microsoft Outlook, Excel and Word
• Fluent communication skills in English are required and bilingual skills in French are an asset

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
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
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.
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 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. This position is posted with an expected salary range of $85,000 - $90,000 CAD annually.