Director, Chief Compliance Officer

2 weeks ago

Old Toronto, Ontario, Canada Aviso Wealth Inc Full time
Job Title: Director, Chief Compliance Officer

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

About the Role:

The Director, Chief Compliance Officer will be responsible for overseeing compliance within our organization, ensuring that all applicable laws, regulatory requirements, and internal policies and procedures are met.

Key Responsibilities:
  • Develop and implement a comprehensive compliance program to achieve compliance with regulatory requirements.
  • Provide assurance to Senior Leaders and the Board of Directors that our organization is complying with all applicable regulatory and legal requirements.
  • Support business activities in existing products and services and new opportunities in areas of growth.
  • Establish and maintain written policies and procedures designed to achieve adherence with fiduciary, investment advisory, and securities regulations and internal compliance policies.
  • Respond to regulatory inquiries, lead regulatory audit processes, and respond to written regulatory requests.
  • Build team and individual capabilities by providing development opportunities such as special projects and training.
  • Serve as a resource to partners in the business, Risk, Technology, Finance, Legal, and Human Resources teams.
Requirements:
  • Bachelor's degree in business, finance, or other applicable disciplines.
  • Minimum 10+ years' industry compliance experience working with an IFM regulated by the CSA.
  • Extensive experience with reviewing securities regulations and summarizing them into clear and concise plain language guidance for impacted stakeholders.
  • Extensive experience in drafting policies and procedures within the financial services industry.
  • Project management skills are required, as this role must ensure that various stakeholders within other departments complete the required impact assessment and other downstream work needed to address regulatory changes and/or policy updates within stated timelines.
  • Strong organization and records management skills are required.
  • Fluent communication skills in English are required, and bilingual skills in French are an asset.
  • Experience with dealing with the Securities Exchange Commission (SEC) is an asset.
What We Offer:
  • Excellent health, dental, and insurance benefits to meet the diverse needs of our employees.
  • Matching contributions to our retirement program.
  • Regular social events to foster teamwork.

Aviso Wealth Inc is an equal opportunity employer and welcomes applications from all qualified individuals, including persons with disabilities. If you require an accommodation, we will work with you to meet your needs in all stages of the hiring process.

Aviso Wealth Inc 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.

We're a trusted partner for nearly all credit unions across Canada, in addition to a wide range of portfolio managers, investment dealers, insurance, and trust companies, and introducing brokers. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager, NEI Investments, specializes in investing responsibly. Our online brokerage, Qtrade Direct Investing, empowers self-directed investors, and our fully automated investing service, Qtrade Guided Portfolios, serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms.

Aviso Wealth Inc is backed by the collective strength of our owners: the credit union Centrals, Co-operators/CUMIS, and Desjardins. We're proud to power businesses that empower investors. A career with Aviso Wealth Inc 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.

This position is posted with an expected salary range of $135,000 - $158,000 CAD annually.

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