Wealth Compliance Lead — Mutual Funds

Libro Credit Union; London; On-site; CAD 70,000 - 110,000; Full time

Benefits offered by this job

Competitive salaries

Generous vacation time

Wellness program

Staff banking benefits

Tuition assistance

Job summary

Libro Credit Union is seeking a Wealth Compliance Officer to support the London Administration team. The role involves ensuring adherence to mutual fund policies, CIRO standards, and regulatory requirements across Libro and Aviso Wealth.

The incumbent will coordinate licensing, supervision, audits and regulatory reporting while delivering training and support to Wealth teams. A licensed mutual fund professional with 2+ years’ experience is preferred.

Qualifications

• Degree or diploma in the financial sector with some business courses.
• Knowledgeable of Investments, Mutual Funds and Registered plans.
• Proficient in Word, Excel and Ovation RM/Teller Manager; familiarity with Dataphile, eAdvisor, KnowledgeXchange, Advisor Hub.
• Mutual fund licensing experience a must (2+ years).
• Completion of IFC/CSC/ CIFC accepted if recent.
• BCO certification is desirable.

Responsibilities

• Daily review and approval of mutual fund activities per KYC to ensure investment objectives.
• Monitor licensed staff under supervision requirements and pre-approve trades.
• Respond to inquiries from Aviso Wealth Compliance and regulators.
• Coordinate complaints and privacy concerns for Aviso Wealth clients.
• Register staff for mutual fund licenses and report changes to Aviso Wealth/CIRO/OSC.
• Prepare for Aviso Wealth annual audits and regulator audits.

Job description

Libro Credit Union is seeking a Wealth Compliance Officer to support the London Administration team. The role involves ensuring adherence to mutual fund policies, CIRO standards, and regulatory requirements across Libro and Aviso Wealth.

The incumbent will coordinate licensing, supervision, audits and regulatory reporting while delivering training and support to Wealth teams. A licensed mutual fund professional with 2+ years’ experience is preferred.