Compliance Officer, Correspondent and Institutional
About The Position
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 www.aviso.ca. 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)
Requirements
- 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
Nice To Haves
- Fluent communication skills in English are required and bilingual skills in French are an asset
Responsibilities
- 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
Benefits
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
