Compliance Director
3 weeks ago
Aviso Wealth is a leading wealth management and investment services provider for the Canadian financial industry. We're seeking a highly skilled Compliance Director to join our Asset Management team.
Key Responsibilities:
- Oversee compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.
- Ensure compliance with all applicable laws, regulatory requirements, as well as internal policies and procedures of NEI.
- 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.
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.
- Requisite courses, and experience to qualify as a CCO under NI-31-103, section 3.14.
- Extensive experience with reviewing securities regulations (and other regulatory publications) and summarizing that into clear and concise plain language guidance for impacted stakeholders.
- Extensive experience in drafting policies & procedures within the financial services industry.
- Project management skills are required, as this role must ensure that various stakeholders (e.g. subject matter experts) 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) an asset.
What We Offer:
- 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.
Aviso Wealth welcomes and encourages 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.
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