Hybrid Compliance Officer - Branch Examinations

Aviso; Toronto; Hybrid; CAD 85,000 - 95,000; Full time

Benefits offered by this job

Competitive pay

Health insurance

Vacation time

Fitness benefit

Parental leave

Retirement matching

Education assistance

Social events

Job summary

Aviso Wealth is seeking a Compliance Officer for its Branch Examination team in Canada on a 12-month, hybrid role. You will conduct onsite and remote examinations of CIRO dealer locations, prepare audit materials, report findings, and follow up on actions. Travel to branches up to 25% is required.

You should have a finance-related degree, CIRO licensing readiness, and 3–5 years of compliance supervision experience within financial services. Proficiency in MS Outlook, Excel, and Word is expected.

Qualifications

• University degree related to finance and securities preferred.
• Completion of requisite courses (e.g., Canadian Securities Course) with ability to be licensed with CIRO.
• 3–5 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/investment dealer is preferred.
• Sound knowledge of the rules and regulations governing the securities industry.
• Excellent analytical and investigative skills with strong attention to detail.
• Excellent interpersonal and communication skills; ability to present to different audiences.
• Excellent organizational and time-management skills; disciplined work ethic.

Responsibilities

• Conduct onsite and/or remote examinations of CIRO mutual funds and investment dealer locations.
• Prepare pre-visit audit materials and schedule examinations per regulatory requirements.
• Communicate audit results and follow up on action items.
• Maintain audit schedules and prepare detailed audit reports with identified issues and corrective actions.
• Support maintenance/improvement of Branch Review Program per regulatory changes.
• Perform internal testing and examinations at head office and assist on special projects.

Skills

Compliance supervision

Regulatory knowledge

Analytical skills

Interpersonal skills

Time management

English fluency

Communication

Presentation

Travel flexibility

English proficiency

Education

Finance degree

CIRO license / CIRO licensing courses

Tools

MS Outlook

Excel

Word

Dataphile

Job description

Aviso Wealth is seeking a Compliance Officer for its Branch Examination team in Canada on a 12-month, hybrid role. You will conduct onsite and remote examinations of CIRO dealer locations, prepare audit materials, report findings, and follow up on actions. Travel to branches up to 25% is required.

You should have a finance-related degree, CIRO licensing readiness, and 3–5 years of compliance supervision experience within financial services. Proficiency in MS Outlook, Excel, and Word is expected.