Trade Compliance Officer

Aviso Wealth•Toronto, ON

2d•Hybrid

About The Position

Aviso is seeking a Trade Compliance Officer to join their Compliance team. This role reports to the Director of Trade Compliance and is responsible for the day-to-day trade compliance activities across all business lines of Aviso Financial Inc. This includes daily and monthly trade surveillance reviews and quarterly trend analysis to detect manipulative and deceptive trading activities, in accordance with regulatory requirements from the Canadian Investment Regulatory Organization (CIRO), provincial Securities Commissions, and Aviso's internal policies. The role requires subject matter expertise on the Universal Marketplace Integrity Rules (UMIR).

Requirements

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
Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as an CIRO Supervisor are required.
CIRO - Registration as a supervisor as equity or options or willing to take it for futures
Curious mindset and desire to find solutions to improve business functions and process efficiencies
Excellent Analytical/investigative skills and 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

Nice To Haves

Completion of the Options Supervisor Course and the Canadian Commodities Supervisor Course are preferred
bilingual skills in French are an asset

Responsibilities

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