Compliance Officer, Correspondent and Institutional position at Aviso Wealth Management.| Canada

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Aviso Wealth Management Compliance Officer, Correspondent and Institutional

Experience: 5-years

Pattern: Full-time

Country:

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Vancouver....Canada

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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 www.aviso.ca . The Opportunity: We’re looking for a Compliance Officer to join our Compliance team. Reporting to the Director Correspondent & Institutional Compliance, the Compliance Officer is responsible for primarily day-to-day compliance activities for the Aviso Correspondent Partners business line of Aviso Financial Inc. and will occasionally assist with the other business lines. The Compliance Officer will be registered as a Designated Supervisor with the Canadian Investment Regulatory Organization (CIRO) Who you are: Service – You consider both internal and external stakeholders and demonstrate intent of understanding and putting the clients’ needs first. You advocate service excellence and work to deliver solutions that meet the needs. You proactively develop strategic partnerships that allow Aviso Wealth 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: New Account and material change approvals for Portfolio Manager firms and Institutional Accounts Monitor for Manipulative and Deceptive trading activities and other securities regulations violations, including but not limited to Universal Market Integrity Rules (UMIR) Lead or assist with compliance projects and initiatives Assist in the preparation of the business/new accounts/compliance monthly meeting Reviews, annual certifications, and compliance manual updates Implement, amend and enhance policies and procedures Liaise with Introducing Broker and Portfolio Manager firms on compliance matters and issues, working towards resolutions Provide day-to-day compliance support to the business line in onboarding new or potential clients offering solutions in a collaborative manner Your experience and skills: Post-secondary degree in a related field 3 - 5 years’ work experience in an IIROC environment Sound knowledge of the rules and regulations governing the securities industry (IIROC, UMIR, CSA, etc.) Investment Dealer Supervisor course and minimum two years of relevant experience working for an investment dealer required for registration as an IIROC Designated Supervisor Options Supervisor course and, both the Derivatives Fundamentals Course and the Options Licensing Course, or Derivatives Fundamentals and Options Licensing Course (all courses to be completed within 3 months) Excellent analytical and investigative skills with strong 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

Compliance Officer, Correspondent and Institutional job opportunity at Aviso Wealth Management.

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