Global Compliance Leader, Aviso Wealth

2 days ago

Toronto, Ontario, Canada Aviso Wealth Full time

Aviso Wealth is seeking a highly experienced and skilled Director, Chief Compliance Officer, NEI to join our Asset Management team.



The Director, Chief Compliance Officer, NEI will oversee compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated by the OSC and CSA.



Responsibilities

This role requires the following key responsibilities:




  • Developing, implementing, and maintaining a comprehensive compliance program to achieve compliance with OSC and CSA rules and regulations
  • Providing assurance to Senior Leaders and the Board of Directors that there are effective and efficient policies and procedures in place
  • Establishing and maintaining written policies and procedures designed to achieve adherence with fiduciary, investment advisory, and securities regulations
  • Serving as a resource to partners in the business, Risk, Technology, Finance, Legal, and Human Resources teams


Requirements

The ideal candidate will possess the following qualifications:




  • Bachelor's degree in business, finance, or other applicable disciplines
  • Minimum 10+ years' industry compliance experience working with an IFM regulated by the CSA
  • Requisite courses and experience to qualify as a CCO under NI-31-103, section 3.14
  • Strong organization and records management skills
  • Fluent communication skills in English, with bilingual skills in French being an asset
  • Experience with dealing with the Securities Exchange Commission (SEC) being an asset


What We Offer

Aviso Wealth offers a competitive compensation package, excellent health and dental benefits, generous vacation time, fitness benefit, and parental leave top-up options.



As a member of our team, you will have opportunities for professional growth and development, with a commitment to the continuous improvement of our staff through learning & development and an education assistance program.



We welcome and encourage applications from all qualified individuals, including those with disabilities. If you require an accommodation, we will work with you to meet your needs in all stages of the hiring process.



Company Overview

Aviso Wealth is a leading wealth management and investment services provider for the Canadian financial industry, with over $130 billion in total assets under administration and management, and over 1,000 employees.



We're building a comprehensive, technology-enabled, client-centric wealth services ecosystem, with a focus on innovation and excellence.



Our clients include our partners, advisors, and investors, and we're proud to power businesses that empower investors.



A career with Aviso Wealth means being part of a group of talented, energetic professionals who live their values every day, and belonging to an organization dedicated to your success and career development.

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