Manager, Trade Compliance

Manager, Trade Compliance Base pay range: CA$100,000.00/yr - CA$110,000.00/yr About Aviso 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. Responsibilities Maintain and develop an effective trade compliance program for all business lines of Aviso Financial Inc. Supervise day‑to‑day activities of Trade Compliance, delegating tasks to Trade Compliance Officers. Provide trade compliance guidance, advice and support to Trade Compliance Officers and other business units. Monitor performance and effectiveness of trade compliance processes in accordance with regulatory requirements established by the Canadian Investment Regulatory Organization, provincial Securities Commissions, and AFI internal policies. Serve as subject‑matter expert on the Universal Marketplace Integrity Rules (UMIR) and oversee a team of Trade Compliance Officers. Monitor market conduct, regulatory reporting and trade surveillance to fulfill US SEC reporting obligations under SEC Form 13F and 13H. Execute quarterly Trade Supervision Review, manage completion of annual ETR testing, collect annual certifications/attestations and assist the Director in implementing and enhancing policies and procedures. Collaborate with the Capital Markets team and other divisions to solve trade compliance requirements. Assist in preparing Best Execution Committee materials. Support Trade Compliance Officers with escalations and provide subject‑matter expertise. Communicate with introducing brokers regarding trade compliance concerns and track issues to ensure resolution. Provide day‑to‑day trade compliance education support to all business lines. Prepare monthly Compliance Newsletter content. Manage Aviso’s obligations under SEC Form 13F and 13H including trade data gathering, validation and filing. Person We Are Looking For Client‑centric service mindset, advocacy for service excellence and the development of strategic partnerships. Execution focus, accountability for goals, continuous improvement and learning from mistakes. Collaboration skills, fostering teamwork, building trust, inclusion and effective relationships. Leadership, coaching, motivating a team to peak performance, removing roadblocks and providing support. Requirements Post‑secondary degree in a related field with 5–7 years of industry experience in trade compliance, market surveillance or regulatory oversight, preferably within an investment dealer or wealth‑management firm. 2–4 years of people‑management experience. Knowledge of CIRO rules, CSA instruments, OSC/AMF requirements and applicable securities laws. Experience with trading platforms, market surveillance systems and data analysis tools (e.g., Position Watch, Dataphile, Nasdaq NTS). Successful completion of the IDSC and requisite courses for registration as a CIRO Supervisor. Completion of the Options Supervisor Course and the Canadian Commodities Supervisor Course preferred. CIRO registration as a supervisor in equity and options or willingness to obtain it for futures. Excellent analytical and investigative skills with attention to detail. Disciplined work ethic and commitment to excellence. Proficiency in Microsoft Outlook, Excel and Word. Fluent in English; bilingual French an asset. Benefits Competitive compensation package that rewards and recognizes individual contributions. Excellent health, dental and insurance benefits. Generous vacation time, fitness benefit, and parental leave top‑up options. Matching contributions to our retirement program. Commitment to continuous improvement through learning & development and an education assistance program. Regular social events fostering teamwork. Candidate Information By submitting your application you consent to the collection, use and disclosure of your personal information for assessing your qualifications and suitability for employment with Aviso. This information will be handled in accordance with Canadian privacy laws including PIPEDA and relevant provincial legislation and will remain only as long as necessary to fulfill these purposes or as required by law. Equal Employment Opportunity: 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. We thank all applicants for their interest; however, only those selected for further consideration will be contacted. No recruiters or agencies, please. #J-18808-Ljbffr