Vp, Regulatory Affairs

7 months ago

Toronto, Canada Aviso Wealth Full time

**Aviso Wealth**:
**The Opportunity**:
We’re looking for a VP, Regulatory Affairs, to join our Compliance team.
This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON.

Reporting to the Chief Compliance Officer, the VP, Regulatory Affairs is responsible for the enhancement and effectiveness of the compliance program, leading large teams in the development of policies, implementation of new systems and solutions, execution of Compliance strategic initiatives, and working with regulatory and other industry organizations. The VP, Regulatory Affairs is also responsible for ensuring Aviso’s compliance with the rules and regulations of regulatory organization and other laws or rules and makes certain that related company policies and procedures are current, being followed, and that Aviso and our partners meet industry's standards of ethical conduct.

**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**:

- Advising and directing a large team of compliance employees regarding a broad spectrum of compliance related topics (e.g., audit, complaint handling, policy)
- Leadership in the development, enhancement and maintenance of the regulatory developments framework, the compliance policy infrastructure, a data analytics risk management strategy, and deliver a robust compliance regime
- Strengthen and enhance compliance processes, supervisory controls, and risk management insights through technology
- Measurement of compliance through escalated issues framework as well as coordinating audits generated by internal and external sources for appropriate risk management
- Strong liaise with ERM around material compliance risks and advisor conduct matters
- Maintain a current and advanced knowledge of all regulations that pertain to the functions they administer and provide thought leadership
- Delivery of key messages to senior management of Aviso, Credit Union executives and board of directors
- Providing education and training on actual, proposed or pending regulation that affects internal operations and business functions to internal and external stakeholders
- Strong and demonstrable experience in plain language writing and communication style
- Function as a key liaise with CIRO, and other regulatory and industry organizations regarding regulatory policy

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

- Extensive experience (minimum 12-15 years') in the wealth management industry
- Extensive experience (minimum 5+ years') in a senior compliance position, and compliance experience working with legacy MFDA/IIROC regulations
- Strong leadership skills and understanding of how to ensure an effective compliance plan is distributed throughout all levels of the organization
- Results driven, highly accountable with strong work ethic
- Strong presentation skills and public speaking experience
- Exercising proactive and independent judgment when providing advice to senior leadership
- Experience in the implementation of technology-based solutions
- Deep and broad knowledge of all rules and regulations
- 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, den

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