Director, Chief Compliance Officer, NEI: Strategic Compliance Leadership

4 weeks ago


Old Toronto, Canada Aviso Wealth Inc Full time
About the Position

Aviso Wealth Inc. is seeking a seasoned compliance professional to lead our NEI Investments compliance efforts as Director, Chief Compliance Officer, NEI. This key role will oversee the development, implementation, and maintenance of a comprehensive compliance program that ensures NEI's adherence to regulatory requirements and internal policies.

Key Responsibilities:

  • Compliance Program Development: Design and implement a compliance program that addresses the unique needs of NEI, an investment fund manager, portfolio manager, and exempt market dealer regulated by the OSC and CSA.
  • Regulatory Compliance: Ensure that NEI complies with all applicable laws, regulatory requirements, and internal policies.
  • Risk Management: Identify, assess, and mitigate risks associated with NEI's business activities.
  • Team Leadership: Provide guidance, coaching, and motivation to team members to achieve peak performance.

Requirements:

  • Bachelor's degree in business, finance, or a related field.
  • Minimum 10+ years' industry compliance experience, with a background in securities regulation and compliance.
  • Requisite courses and experience to qualify as a CCO under NI-31-103, section 3.14.
  • Strong analytical, problem-solving, and communication skills.
  • Experience with project management and team leadership.

About Aviso Wealth Inc.

Aviso Wealth Inc. is a leading wealth management and investment services provider for the Canadian financial industry. We're committed to delivering innovative solutions that empower our clients to achieve their financial goals. If you're a motivated and experienced compliance professional looking for a challenging opportunity, please submit your application.



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