Branch Examiner

6 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 Manager, Branch Examination, the Compliance Officer is responsible for conducting onsite and/or remote branch and sub-branch examinations of Investment dealer and mutual fund dealer business locations. The Compliance Officer will be able to register with the regulators.

**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**:

- Conduct onsite and/or remote examinations of IIROC and MFDA
- Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures
- Communicate audit results and follow up on action items
- Update and maintain the audit schedule and prepare detailed audit reports, identifying issues, recommending corrective actions, and following up with our financial institution partners in closing outstanding items in accordance with existing policy and procedures
- Support the maintenance and improvement of the Branch Review Program in accordance to updated regulatory changes and dealer policies and procedures
- Perform various internal testing and examinations at head office as required and perform other special projects

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

- University Degree related to finance and securities preferred
- Successful completion of requisite courses required for registration with CIRO
- 2+ years of compliance experience within the financial services industry
- Experience as a Branch Compliance Officer, Branch Manager, Branch Auditor, Compliance Office or Wealth Management in an Investment Dealer firm is an asset
- Sound knowledge of the rules and regulations governing the securities industry
- Proficient in Microsoft Outlook, Excel and Word
- Excellent analytical and investigative skills with strong attention to detail
- Excellent interpersonal skills with the ability to present information to different audiences with a strong commitment to customer service
- Disciplined work ethic and committed to producing excellence in work output
- Although we are not currently travelling, this position must have the ability to travel to branch locations up to 25%
- 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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