Compliance Leader for Asset Management

2 weeks ago


Toronto, Ontario, Canada Aviso Wealth Full time
Role Overview

We are seeking a seasoned Compliance Leader to join our Asset Management team at Aviso Wealth. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community.

About the Role
  • The successful candidate will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.
  • This includes ensuring compliance with all applicable laws, regulatory requirements, as well as internal policies and procedures of NEI.
Your Key Responsibilities
  1. You will establish standards and implement procedures to ensure that the compliance programs throughout NEI are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations.
  2. Developing, implementing, and maintaining a comprehensive compliance program to achieve compliance with OSC and CSA rules and regulations that reflects NEI's unique characteristics.
  3. You will support business activities in existing products and services and new opportunities in areas of growth.
What You'll Need
  • 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.
Why Join Us?
  • Aviso Wealth offers a competitive compensation package that rewards and recognizes individual contributions.
  • Our benefits include excellent health, dental and insurance benefits, generous vacation time, fitness benefit, parental leave top-up options, matching contributions to our retirement program, and commitment to the continuous improvement of our staff through learning & development and an education assistance program.

Salary Range: $135,000 - $158,000 CAD annually


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