Current jobs related to Trade Compliance Officer - Toronto - Aviso
-
Compliance Officer, Global Compliance Trade
6 days ago
Toronto, Canada Scotiabank Full timeRequisition ID: 210469 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** The objective of the Compliance Officer (CO) is to directly conduct capital markets and retail trading related surveillance and support for the Global Banking and Markets & Treasury (“GBM&T”) and Wealth Management...
-
Manager, Trade Compliance
1 week ago
Toronto, Canada Aviso Full timeManager, Trade Compliance Base pay range: CA$100,000.00/yr - CA$110,000.00/yr About Aviso At Aviso, we are dedicated to improving the financial well‑being of Canadians. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. Working with talented and energetic professionals who...
-
Manager, Trade Compliance
1 week ago
Toronto, Canada Aviso Full timeManager, Trade Compliance Base pay range: CA$100,000.00/yr - CA$110,000.00/yr About Aviso At Aviso, we are dedicated to improving the financial well‑being of Canadians. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. Working with talented and energetic professionals who...
-
Manager, Trade Compliance
1 week ago
Toronto, Canada Aviso Full timeManager, Trade Compliance Base pay range: CA$100,000.00/yr - CA$110,000.00/yr About Aviso At Aviso, we are dedicated to improving the financial well‑being of Canadians. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. Working with talented and energetic professionals who...
-
Compliance Officer, Trade Surveillance
1 week ago
Toronto, Canada Scotiabank Full timeRequisition ID: 188102 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals,...
-
Trade Compliance Specialist
3 weeks ago
Toronto, Canada Fast Retailing Co Ltd Full timeTrade Compliance Specialist Location: Downtown Toronto (position requires some travels to stores, presence at the office 5 days a week is preferred) Reporting To: Global Trade - Manager Position Overview We are looking for a detail-oriented and analytical Trade Compliance Specialist to ensure that our import and export activities fully comply with Canadian...
-
Trade Compliance Specialist
1 week ago
Toronto, Canada Fast Retailing Co Ltd Full timeTrade Compliance Specialist Location: Downtown Toronto (position requires some travels to stores, presence at the office 5 days a week is preferred) Reporting To: Global Trade - Manager Position Overview We are looking for a detail-oriented and analytical Trade Compliance Specialist to ensure that our import and export activities fully comply with Canadian...
-
Trade Compliance Specialist
1 week ago
Toronto, Canada Fast Retailing Co Ltd Full timeTrade Compliance Specialist Location: Downtown Toronto (position requires some travels to stores, presence at the office 5 days a week is preferred) Reporting To: Global Trade - Manager Position Overview We are looking for a detail-oriented and analytical Trade Compliance Specialist to ensure that our import and export activities fully comply with...
-
Manager, Trade Compliance
1 week ago
Toronto, Canada Aviso Wealth Inc Full timeOverview At Aviso, we are dedicated to improving the financial well‑being of Canadians. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. Working with talented and energetic professionals who exemplify our values every day, you will quickly notice that our people and dynamic...
-
Manager, Trade Compliance
1 week ago
Toronto, Canada Aviso Wealth Inc Full timeOverview At Aviso, we are dedicated to improving the financial well‑being of Canadians. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. Working with talented and energetic professionals who exemplify our values every day, you will quickly notice that our people and dynamic...
Trade Compliance Officer
1 month ago
Overview We're looking for a Trade Compliance Officer to join our Compliance team in Toronto or Vancouver. Reporting to the Director of Trade Compliance, the Compliance Officer, Trade Compliance is responsible for day‑to‑day trade compliance activities of all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This role will be a subject matter expert on the Universal Marketplace Integrity Rules ("UMIR"). Responsibilities Daily and monthly review of compliance reports for manipulative and deceptive trading activities and/or other securities regulations violations (i.e. high close, spoofing, wash trades, insider trading trade markers). PRO account trading reviews, amend and/or enhance policies and procedures and update process documents. New Account Approvals for online brokerage and institutional accounts, reviewing credit reports, assessing account appropriateness (if applicable), and validating complete documentation. Daily and monthly review of supervision reports for CIRO Rules, and prepare/review and submit regulatory reports (i.e. PRO account activity, $1500 Reviews, MTRS reporting, Short report, OTCBB reporting). Communicating with advisors/introducing brokers regarding any trade compliance concerns and tracking issues to ensure resolution. Provide day-to-day trade compliance education support to all business lines via the Trade Compliance email box and/or by preparing Compliance Newsletter content. Requirements Post secondary degree in related field. 3 – 5 years industry work experience, minimum 4 years in a specialized role. Knowledge and understanding of the mutual funds industry and the related legislative and regulatory framework. Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as a CIRO Supervisor are required. Completion of the Options Supervisor Course and the Canadian Commodities Supervisor Course are preferred. CIRO registration as a supervisor as equity or options or willing to take it for futures. Curious mindset and desire to find solutions to improve business functions and process efficiencies. Excellent analytical/investigative skills and attention to detail. Excellent interpersonal skills and effective presentation skills. Ability to work with minimum supervision with a strong commitment to customer service. Disciplined work ethic and committed to producing excellence in work output. Proficient in Microsoft Outlook, Excel and Word. Fluent communication skills in English are required and bilingual skills in French are an asset. Benefits 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. Equal Employment Opportunity Aviso 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. #J-18808-Ljbffr
