Branch Compliance Manager, Temporary

Aviso Wealth•Vancouver, BC

4d•CA$83,000 - CA$90,000•Hybrid

About The Position

Aviso Wealth is seeking to fill an opening for a Branch Compliance Manager to join their Compliance team for a 9-month temporary position. The Branch Compliance Manager will focus on providing Daily Tier 1 supervision of advisors located across Canada. The successful applicant will work closely with head office compliance staff to manage Aviso's overall compliance functions.

Requirements

5+ years of experience in the financial services industry
Ability to be registered as a Branch Manager with CIRO (formerly IIROC and MFDA)
Experience as a Branch Manager, Compliance Officer or Advisor in an IIROC/MFDA firm
Strong knowledge of industry rules and regulations
Strong verbal and written communication skills
Strong mediation and influencing skills
Strong organizational and time management skills
Strong analytical skills with an attention to detail
Proficient in Microsoft Outlook, Word and Excel
High level of product knowledge
Fluent communication skills in English are required

Nice To Haves

Experience with Dataphile an asset
Bilingual skills in French are an asset

Responsibilities

Perform approval of new accounts and material changes to existing accounts
Perform Tier 1 daily and monthly reviews of advisor trading activity
Deal with compliance issues as identified, through to resolution and/or appropriate escalation
Key day-to-day contact for advisors regarding compliance related matters
Follow up with advisors on missing documentation
Act as back-up during absence of other Branch Compliance Managers and compliance staff
Support advisors with ongoing compliance education and training
Assist with compliance projects and initiatives as needed
Conduct branch visits at partner locations as required