Branch Compliance Manager

Aviso Wealth • Toronto, ON

4h • CA$83,000 - CA$90,000 • Hybrid

About The Position

Aviso Wealth is seeking a Branch Compliance Manager to join their Compliance team. This role will focus on providing daily Tier 1 supervision of advisors across Canada. The successful applicant will collaborate 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

Benefits

• Competitive compensation package
• Excellent health, dental and insurance benefits
• 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
• Education assistance program
• Regular social events to foster teamwork

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: No Education Listed