Remote Compliance Officer

As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. We’re looking for a Compliance Officer to join our Branch Examination team.

Reporting to the Senior Manager, Branch Examination, the Compliance Officer is responsible for conducting onsite and/or remote branch and sub-branch examinations of CIRO dealer business locations. As this is a hybrid role, work will be performed from an Aviso office and also onsite at partner branches. The Compliance Officer role is a position which requires supervisor registration.

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

Conduct onsite and/or remote examinations of CIRO (both mutual funds and investment), branch and sub-branch locations of our dealer business

Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures

Update and maintain the audit schedule and prepare detailed audit reports, identifying issues, recommending corrective actions, and following up with our financial institution partners in closing outstanding items in accordance with existing policy and procedures

Support the maintenance and improvement of the Branch Review Program in accordance with updated regulatory changes and dealer policies and procedures

Perform various internal testing and examinations at head office as required and perform other duties and special projects

Successful completion of requisite courses (ie: Canadian Securities Course) with an ability to be licensed with CIRO

• 3 to 5 years of compliance supervision experience within the financial services industry
• Experience as a Branch Compliance Officer, Branch Manager, Branch Auditor, Compliance Officer, or Financial Advisor in a mutual fund dealer or investment dealer firm is preferred
• Proficient in Microsoft Outlook, Excel and Word
• Experience operating in a Credit Union system and familiarity with Dataphile is an asset
• Ability to work with minimum supervision with a strong commitment to customer service
• This position must have the ability to travel to branch locations up to 25%. Travel may increase in the future.
• 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 $83,000- $ 92,000 CAD annually.