Compliance Officer

Aviso Wealth; Toronto; Hybrid; CAD 80,000 - 87,000; Full time

Job summary

A leading wealth management firm in Toronto is seeking a Compliance Officer to conduct examinations of CIRO dealer business locations, both onsite and remote. The ideal candidate will have significant experience in compliance supervision within the financial services industry and a strong knowledge of securities regulations. This position offers a competitive salary of $80,000 - $87,000 CAD annually with a focus on client-centric solutions and continuous improvement.

Benefits

Competitive compensation package

Excellent health, dental and insurance benefits

Generous vacation time

Matching contributions to retirement program

Continuous improvement through learning & development

Qualifications

• 3 to 5 years of compliance supervision experience within the financial services industry.
• Fluent communication skills in English; bilingual in French is a plus.
• Sound knowledge of the rules and regulations governing the securities industry.

Responsibilities

• Conduct onsite and / or remote examinations of CIRO branch and sub-branch locations.
• Prepare pre-visit audit materials and communicate audit results.
• Support the maintenance and improvement of the Branch Review Program.

Skills

Compliance Management

Risk Management

Financial Services

Securities Law

Analytical Skills

Education

University Degree related to finance and securities

Tools

Microsoft Outlook

Microsoft Excel

Microsoft Word

Job description

Description

Aviso Wealth :

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 oneaviso culture sets us apart. If you are looking for interesting and challenging work at a company committed to its people find out more about what Aviso has to offer at .

The Opportunity

We’re looking for a Compliance Officer to join our Compliance team.

Reporting to the Senior Manager Branch Examination the Compliance Officer is responsible for conducting onsite and / or remote branch and sub-branch examinations of CIRO dealer business locations. As this is a hybrid role work will be performed from an Aviso office and also onsite at partner Compliance Officer role is a position which requires supervisor registration.

Who you are

• Service You put your clients needs first. You advocate service excellence and work to deliver client-centric solutions and proactively develop strategic partnerships that allow Aviso to become a trusted advisor and partner
• Execution You are committed to achieving your goals and to succeed. This includes focusing on getting things done as well as recognizing and taking advantage of opportunities as they arise. You are consistently looking for ways to improve your personal best and see value in continuous improvement. You take accountability for your actions and learn from mistakes
• Collaboration You work collaboratively with others with the common goal of driving positive results. Making meaningful contributions to your team to achieve organizational goals is a priority. You proactively encourage collaboration build trust and inclusion and work to establish effective relationships both inside and outside of the organization

What your day looks like

• Conduct onsite and / or remote examinations of CIRO (both mutual funds and investment) branch and sub-branch locations of our dealer business
• Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures
• Communicate audit results and follow up on action items
• Update and maintain the audit schedule and prepare detailed audit reports identifying issues recommending corrective actions and following up with our financial institution partners in closing outstanding items in accordance with existing policy and procedures
• Support the maintenance and improvement of the Branch Review Program in accordance with updated regulatory changes and dealer policies and procedures
• Perform various internal testing and examinations at head office as required and perform other duties and special projects

Requirements

Your experience and skills

• University Degree related to finance and securities preferred
• Successful completion of requisite courses (ie : Canadian Securities Course) with an ability to be licensed with CIRO
• 3 to 5 years of compliance supervision experience within the financial services industry
• Experience as a Branch Compliance Officer Branch Manager Branch Auditor Compliance Officer or Financial Advisor in a mutual fund dealer or investment dealer firm is preferred
• Sound knowledge of the rules and regulations governing the securities industry
• Proficient in Microsoft Outlook Excel and Word
• Experience operating in a Credit Union system and familiarity with Dataphile is an asset
• Excellent analytical and investigative skills with strong attention to detail
• Excellent interpersonal skills with the ability to present information to different audiences
• Excellent organizational and time management skills
• Disciplined work ethic and committed to producing excellence in work output
• Ability to work with minimum supervision with a strong commitment to customer service
• This position must have the ability to travel to branch locations up to 25%. Travel may increase in the future.
• Fluent communication skills in English are required and bilingual skills in French are an asset

Benefits

Why Aviso Wealth

At Aviso Wealth you will find a dynamic and inclusive culture that rewards innovation and celebrates success.

Here are a few things that set us apart :

• 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

Your Information

By submitting your application you consent to the collection use and disclosure of your provided personal information for the purposes of assessing your qualifications and suitability for employment with Aviso. Your information will be handled in accordance with applicable Canadian privacy laws including the Personal Information Protection and Electronic Documents Act (PIPEDA) and relevant provincial legislation. Your data may be shared with authorized personnel involved in the recruitment process and retained only as long as necessary to fulfill these purposes or as required by law.

Further information is available on the Privacy link on our Career Page Privacy Policies

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.

We thank all applicants for their interest however only those selected for further consideration will be contacted.

No recruiters or agencies please.

Company Overview

Aviso is a leading wealth management and investment services provider for the Canadian financial industry with approximately $145 billion in total assets under administration and management and over 1000 employees. Were building a comprehensive technology-enabled client-centric wealth services ecosystem. Our clients include our partners advisors and investors. Were 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 partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving highly competitive industry. 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. We have offices in Toronto Vancouver Montreal and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals Co-operators / CUMIS and Desjardins. Were proud to power businesses that empower investors.

A career with Aviso 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. If youre looking for interesting and challenging work at a company committed to its people apply to join our team.

Salary

This position is posted with an expected salary range of $80000- $87000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.

Required Experience :

Unclear Seniority

Key Skills

Compliance Management, Risk Management, Financial Services, PCI, Banking, Cost Accounting Standards, Quality Systems, Research Experience, NIST Standards, Securities Law, SOX, ISO 27000

Employment Type : Full-Time

Department / Functional Area : Compliance

Experience : years

Vacancy : 1

Monthly Salary Salary : 80000 - 87000