Branch Compliance Manager, Temporary

2 weeks ago

Toronto, Canada Aviso Wealth Full time

**Aviso Wealth**:
**The Opportunity**:
We’re looking for a Branch Compliance Manager to join our Compliance team for 18 months.

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

The Branch Compliance Manager will focus on providing Daily Tier 1 supervision of advisors located across Canada. The successful applicant will work closely with head office compliance staff to manage Aviso's overall compliance functions.

**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
- **Leadership** - You lead your team and provide regular direction, guidance, coaching, and motivation, all while striving for peak performance. You assist them in overcoming obstacles through additional resources, removal of roadblocks, and providing the level of support required for their success. You delegate and deliver feedback based on the in-depth understanding of your individual team members

**What your day looks like**:

- 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

**Requirements**:
**Your experience and skills**:

- 5+ years of experience in the financial services industry
- Ability to be registered as a Branch Manager with the 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
- Experience with Univeris or Dataphile an asset
- High level of product knowledge
- 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**:
**Salary

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