Compliance Officer, Corporate Compliance

3 months ago

Toronto, Canada Aviso Wealth Full time

**Aviso Wealth**:
**The Opportunity**:
We’re looking for a Compliance Officer to join our Compliance team.

This can be a remote role, however for those who would like to come into the office we are at 151 Yonge St, Toronto, ON.

Reporting to the Director Corporate Compliance, the Compliance Officer is primarily responsible for day-to-day compliance activities for the Aviso Correspondent Partners business line of Credential Qtrade Securities Inc and occasionally to assist with other business lines. The Compliance Officer will be registered as a Designated Supervisor with the Investment Industry Regulatory Organization of Canada (IIROC).

Who you are:

- Service - You consider both internal and external stakeholders and demonstrate intent of understanding and putting the clients’ needs first. You advocate service excellence and work to deliver solutions that meet the needs. You proactively develop strategic partnerships that allow Aviso Wealth to become a trusted advisor and partner
- Execution - You are committed to achieving your goals and to succeed. This includes focusing on “getting things done”, as well as recognizing and taking advantage of opportunities as they arise. You are consistently looking for ways to improve your personal best and see value in continuous improvement. You take accountability for your actions and learn from mistakes
- Collaboration - You work collaboratively with others with the common goal of driving positive results. Making meaningful contributions to your team to achieve organizational goals is a priority. You proactively encourage collaboration, build trust and inclusion, and work to establish effective relationships both inside and outside of the organization

What your day looks like:

- New Account approvals for portfolio manager and institutional accounts, assessing and validating complete documentation
- Daily and Monthly review of compliance reports for Manipulative and Deceptive trading activities and other securities regulations violations, including but not limited to Universal Marketplace Integrity Rules (UMIR)
- Quarterly and Annual reviews, including but not limited to ETR testing, annual certifications, and compliance manual updates
- Implement, amend, and enhance policies and procedures
- Liaising 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

**Requirements**:
Your experience and skills:

- 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

**Benefits**

**Why Aviso Wealth?**

At Aviso Wealth, you will find a dynamic and inclusive culture that rewards innovation and celebrates success.
Here are a few things that set us apart:

- 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

**Equal Employment Opportunity**

We thank all applicants for their interest, however, only those selected for further consideration will be contacted.

No recruiters or agencies, please.

**Company Overview**:

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