Aviso Wealth

Customer Support

• Respond to inquiries via telephone, email, or chat on our products and services in an efficient, compliant, courteous, and professional manner
• Provide exceptional customer experience, take initiative to find creative solutions that make each customer’s experience feel personal
• Act as the primary contact with the client with respect to the resolution of problems and complaints with deep empathy and a solution-focused outlook
• Drive continuous improvement by identifying, suggesting and actively participating in process improvement
• Understand and apply department operating policies and procedures

Customer Service Representative

Risk

• Serve as the central point of contact for all privacy-related projects, vendor engagements, new system integrations, and AI-related inquiries
• Lead the development and implementation of Aviso’s privacy management framework, including tools, policies, processes, and training
• Promote a culture of privacy awareness and provide expert guidance across the organization
• Conduct complex and technical Privacy Impact Assessments (PIAs), Transfer Impact Assessments (TIAs), AI Assessments, and Privacy Compliance Audits, while also performing privacy risk and vendor assessments
• Create and maintain processes for TIAs and ensure alignment with cross-jurisdictional data processing requirements
• Monitor and interpret emerging privacy legislation and AI governance standards to ensure proactive compliance
• Collaborate with internal stakeholders to maintain records of processing activities and ensure data lifecycle compliance
• Evaluate vulnerabilities identified through PIAs, TIAs or AI Assessments and lead the implementation of corrective actions
• Communicate emerging privacy risks and manage consistency of practices across business units
• Conduct systematic audits to identify areas for improvement and non-compliance
• Develop and track KPIs/KRIs related to privacy assessments and program performance
• Present regular reports and insights to executives and governance committees when applicable
• Maintain logs of outstanding remediation plans and ensure timely updates from initiative owners
• Work closely with business units, IT, legal, and external regulators to uphold privacy governance
• Provide privacy consultation and support during system development, procurement, and modernization initiatives
• Ensure timely identification and resolution of privacy risks without impacting project timelines
• Participate in the Product Operating Model and provide subject matter expertise on privacy controls during the design and implementation of pilot programs

Privacy Risk Specialist

Administration

• Ensure daily settlement totals match the central depository
• Maintain daily settlement reports, and request money movement for transaction settlement
• Monitor rejections for trades and transactions, identify any issues and correct them on the system or advise the Credit Union of the corrections required
• Process GIC purchases, settlements, reconciliations and maturities
• Process Pool fund trades and settlements within specified SLAs
• Review and complete financial and non-financial adjustments
• Review requests for completeness and accuracy, communicating with internal and partner staff to verify and confirm details if necessary
• Communicating with Mutual Fund Companies via Letter of Indemnity, email, or phone call, to correct and resolve issues
• Respond to faxes received from Fund Companies and Credit Unions in a timely manner
• Respond to queries from other Aviso departments in a timely manner
• Support external and internal partners using the most efficient processing methods and recommending solutions for timely and accurate issue resolution

Bilingual Trade Services Administrator

• Effectuer l’enregistrement et le rapprochement des opérations dans CDS ou Arrow conformément aux normes du secteur.
• Réaliser le rapprochement des confirmations d’opérations effectuées avec d’autres institutions.
• Interagir avec les représentantes ou représentants pour résoudre les opérations non rapprochées ou non traitées.
• S’assurer que toutes les opérations sont traitées et réglées dans le délai requis.
• Équilibrer et corriger les écarts dans le traitement quotidien en utilisant les différents rapports provenant des systèmes CDS et Dataphile.
• Interagir avec les sociétés de courtage et les dépositaires pour corriger ou confirmer les opérations effectuées ou non rapprochées.
• Gérer, mettre à jour et suivre les opérations échouées et les raisons des échecs.
• Rapprocher les relevés mensuels provenant de sources externes.
• Suivre le manuel des politiques et des procédures de l’équipe des règlements.
• Assurer le suivi et la tenue à jour des dossiers relatifs aux règlements quotidiens et à l’archivage de ces dossiers.
• Effectuer d’autres tâches assignées et aider les collègues au besoin.

Administrateur des règlements, bilingue

• Set up and match trades on CDS or Arrow within industry standards
• Matching confirmations of trades done with other institutions
• Interaction with sales representatives to resolve unmatched or unprocessed trades
• Ensure all trades are processed and settled within the required time frame
• Balance and correct any outages in the day-to-day processing using the various reports received from the CDS and Dataphile systems
• Interact with Brokerage Firms and Custodians to correct or confirm trades done or not matched
• Maintaining, updating and tracking the failed trades and reasons for fails
• Balance monthly statements from external sources
• Follow the policy and procedures manual for the settlements team
• Responsible for the tracking and maintaining of files relating to daily settlements and storage of such records
• Other duties as assigned and help others when needed

Bilingual Settlements Administrator

• Effectuer les rapprochements complets requis à l’interne et par les organismes de réglementation (OCRI).
• Assurer la liaison avec les services internes et externes appropriés pour corriger les écarts entre la société et les sociétés de fonds.
• Acquérir une compréhension des exigences réglementaires auxquelles ces tâches répondent.
• S’assurer que toutes les exceptions de l’unité sont résolues dans les délais de déclaration.
• S’assurer que les écarts non financiers sont mis à jour.
• Offrir du soutien aux fonctions de gestion des représentants de courtier.
• Effectuer tous les rapprochements bancaires relatifs aux comptes bancaires d’exploitation et aux comptes en fiducie ou comptes clients. Examiner toutes les exceptions et faire un suivi auprès du groupe bancaire et/ou des fournisseurs de services bancaires pour résoudre les problèmes en temps opportun.
• S’assurer que les coopératives d’épargne et de crédit effectuent leurs rapprochements bancaires chaque mois. Faire un suivi directement auprès des coopératives d’épargne et de crédit au sujet des écarts.
• Répondre aux demandes de renseignements envoyées à l’équipe au sujet des positions en compte.
• Aider à l’établissement de nouveaux rapprochements à mesure que les produits sont intégrés.
• Tenir à jour le manuel des procédures et examiner continuellement le processus pour trouver des occasions d’amélioration continue.
• Aider à répondre aux questions des auditeurs internes ou externes concernant les rapprochements.

Administrateur/Administratrice des rapprochements bilingue

• Complete reconciliations required internally and by regulatory bodies (CIRO)
• Liaise with appropriate internal and external departments to rectify any outages between the firm and the fund companies
• Gain an understanding of the regulatory requirements that these tasks satisfy
• Ensure all unit exceptions are resolved by reporting deadlines
• Ensure non-financial discrepancies are updated
• Provide support for dealer rep maintenance functions
• Complete all bank reconciliations in relation to Operating and Trust/Client related bank accounts. Review all exceptions and follow up with the banking group and/or the bank providers to resolve in a timely manner
• Ensure Credit Unions complete their bank reconciliations monthly. Follow up directly with the Credit Unions on any outages
• Assist with any inquiries to the team regarding account positions
• Assist with the setup of new reconciliations as products come onboard
• Maintain the procedures manual and continually review the process to find opportunities for ongoing improvements
• Assist with any internal or external audit inquiries in relation to reconciliations

Bilingual Reconciliations Administrator

• Process new accounts in accordance with service level agreements
• Provide administrative support and ensure coverage of our fee-based lines of business, including ongoing account management in our various fee-based programs
• Ensure compliance with protocol when processing applications, by providing clear and concise notes with relevant and up-to-date information from internal and external sources
• Ensure documents are in good order and input/update client data
• Properly use all relevant systems (Laserfiche, OSM, Dataphile) in accordance with company policies and industry regulations
• Ensure that accounts are properly prepared in accordance with the NAAFs and that transactions are coded correctly according to tax reporting rules
• Ensure that internal manuals are updated and updated based on changes in company policies, industry regulations, and systems or procedures
• Communicate with peers and the supervisor about any issues or changes that arise to ensure that all parties are informed
• Conducts regular cross training to fulfill the learning of all aspects of the processing functions
• Foster an environment of continuous improvement that sparks idea generation, curiosity and participation in various initiatives
• Meet or exceed partner and customer expectations in day-to-day relationships, demonstrating an understanding of the impact your work has on partners and customers

Bilingual New Accounts Administrator

• Performs estates settlements, journal processing, issuance of tax documents for estates accounts, address estate related inquiries/issues per internal deadlines
• Ensures all information and request channels are current and up to date (e.g. requests for OSM, Laserfiche, mailbox)
• Proactively offers assistance and maintains a positive attitude as a member of the team and works closely with other Operational teams and where needed directly with the advisors for complex situations
• Reviews current processes of CIRO (formerly IIROC and MFDA) estate settlements and pro-actively make recommendations for improvement
• Ensures training checklist is up to date and current
• Provide regular status and immediately highlights if there are any items in backlog so resources can be allocated
• Reviews and ensures the following are current: CIRO checklists, departmental procedures and manuals per trustee or regulatory changes
• Remains current on CRA, Revenue Quebec, ESDC, civil code and trustee regulations through the review of legislation, press releases, and industry information bulletins
• Perform estate settlement, spousal rollovers due to death, full cash out of plans, review date of death

Bilingual Estates Administrator

• Settle estates, process accounting entries, prepare tax documents for estate accounts, and respond to inquiries and estate-related issues within established internal timelines
• Ensure all information and request channels are up to date (for example, requests for OSM, Laserfiche, mailbox)
• Provide proactive assistance and maintain a positive attitude as a team member. Collaborate closely with other operational teams and, when necessary, work directly with advisors on complex matters
• Review OCRI's current estate settlement processes (formerly OCRCVM and ACFM) and proactively recommend improvements
• Maintain and update training
• Provide regular updates and report any outstanding items immediately so resources can be allocated
• Review and maintain the following: OCRI checklists, team procedures and manuals, and regulatory changes
• Monitor developments in CRA, Revenu Québec and Employment and Social Development Canada regulations, the Civil Code and trust legislation by consulting legislation, press releases and relevant industry bulletins
• Settle estates, process spousal transfers on death and full plan disbursements, and verify dates of death

Estate Administrator

• Traiter les transferts demandés selon les ententes de niveau de service
• Surveiller la boîte aux lettres des transferts et recueillir le courrier entrant
• Lancer de nouveaux transferts manuels ou NELTC, y compris des transferts internes
• Vérifier l’état des virements lancés et en assurer le suivi
• Fournir un soutien opérationnel aux transferts vers des institutions externes
• Classer les documents des transferts terminés et déchiqueter tous les documents imprimés
• Examiner les demandes de renseignements au sujet des transferts et y répondre
• Assister et remplacer d’autres personnes dans l’équipe des transferts, au besoin
• Prendre en charge des projets spéciaux ou d’autres mandats, selon ce qui est demandé

Administrateur – Transferts

• Process transfer in requests according to service level agreements
• Monitor the transfers mailbox and collect incoming mail
• Initiate new manual or ATON transfers in and transfers out, including internal transfers
• Track status and follow-up on initiated transfers
• Provide operational support for transfers to external institutions
• File completed transfer documents and shred all printed documents
• Review and respond to transfers in inquiries
• Assist / cover others in the Transfers Department as needed
• Handle special projects or other assignments as requested

Bilingual Transfers Administrator

Bilingual

• Follow up on and gather information on client account activities for client responses
• Work with Operations and IT to investigate activities and completion of requests
• Review transfer in documentation for completeness and initiation and follow up for completion
• Notify Partners of any transfer out requests and coordinate delivery of account with SLA
• Receive and direct certain daily activities for processing by Aviso or other related parties
• Handle general telephone and email inquiries on processing activities
• Ensure customer problems are handled appropriately, escalating issues when necessary
• Provide reporting on client accounts and other activities as necessary
• Assist with management and any other department related duties

Bilingual Account Officer

• Effectuer le suivi des activités liées aux comptes des clients et recueillir des renseignements à ce sujet pour les réponses aux clients
• Collaborer avec les équipes d’exploitation et des TI lors de l’examen des activités et du traitement des demandes
• Examiner les documents de transfert entrant afin de vérifier qu’ils sont bien remplis et de procéder à la demande, puis en assurer le suivi
• Informer les partenaires de toute demande de transfert sortant et coordonner le transfert du compte conformément à l’accord sur les niveaux de service (ANS)
• Recevoir et diriger certaines activités quotidiennes de traitement par Aviso ou par d’autres parties concernées
• Traiter les demandes de renseignements généraux par téléphone et par courriel au sujet des activités de traitement
• Produire des rapports sur les comptes des clients et sur d’autres activités au besoin
• Participer à la gestion et à toute autre tâche liée au service

Agent de Comptes Bilingue

• Coordinate, review, and distribute all Canadian and US depository mandatory and voluntary bulletins
• Process all mandatory and voluntary corporate actions for securities held at Aviso with exceptional accuracy and within specified service standards
• Process all daily entitlements including GIC interest and maturity payments
• Ensure all corporate actions are processed with appropriate US or Canadian tax treatment
• Set client accounts up for dividend reinvestment plans (DRIPs) based on requests received
• Provide excellent customer service to external and internal clients
• Ensure procedure manuals are updated regularly and in adherence with internal controls and regulatory requirements
• Actively participate in team meetings and seek ideas for process improvements

Bilingual Corporate Actions Administrator

General Counsel

• Reporting to the Senior Legal Counsel and supporting the Legal & Governance team and subsidiary Northwest & Ethical Investments L.P.
• Provide general legal advice and support to business lines on securities law and investment funds (simplified prospectus filings, new fund offerings, fund changes, responsible investing, exemptive relief applications)
• Advise on NI 81-101 Mutual Fund Prospectus Disclosure, NI 81-102 Investment Funds, NI 81-106 Investment Fund Continuous Disclosure and CSA Staff Notice 81-334 ESG-Related Investment Fund Disclosure
• Draft, review, negotiate and manage contracts such as sub-advisory agreements and NDAs
• Provide general legal advice on corporate commercial law matters
• Perform legal research, draft memoranda and assist with preparation of policies and procedures
• Resolve inquiries from other departments, including materiality assessments, reviewing fund facts and management reports of fund performance
• Engage in company projects related to new product offerings or other initiatives
• Liaise with external stakeholders such as external legal counsel and auditors

Legal Counsel

Support Engineer

• Administer, monitor and maintain software infrastructures and applications
• Manage and own delivery of applications in collaboration with Aviso Business Units
• Lead and facilitate activities with vendors and coordinate with Aviso IT on vendor roadmaps
• Attend Focus Groups and Steering committees and coordinate with delivery teams for development work
• Review application releases under BAU scope and work with IT and Business units on releases
• Manage day-to-day application issues from Aviso Business Units
• Manage BAU ticket queue and scope of work for various applications
• Address regulatory, risk and audit requirement issues
• Manage all configuration changes for applications
• Work with third-party vendors regarding data transfers via SFTP, API and other connectivity modes
• Provide application support, identify bugs and opportunities for enhancements, and liaise between End-Users, Business Analysts and Developers
• Facilitate communication between technology teams and other departments on issue status and resolution
• Provide overnight or weekend support on a rotational basis
• Report to the Director, Service Delivery and Operations Governance

Application Support Analyst

Security Engineer

• Govern the risk management lifecycle, including monitoring findings remediation and assurance programs and reporting metrics to senior leadership
• Conduct risk assessments of IT infrastructure, applications, third parties, and critical processes to identify, assess and report on technology and cybersecurity risks
• Track and manage mitigation plans and ensure timely resolution
• Support the development and maintenance of cybersecurity risk register, KPI monitoring and reporting
• Assist in development, review and maintenance of Technology & Cybersecurity Policies, Standards, and procedures
• Ensure alignment of internal policies with industry frameworks (NIST, ISO, COBIT)
• Support audits and board level reporting including preparing key metrics
• Monitor compliance with external regulatory and internal control requirements
• Support internal and external audits and conduct periodic control testing including design and operating effectiveness
• Support vendor risk assessments, including reviewing responses to questionnaires
• Maintain and enhance governance process through GRC tools (e.g., Archer, ServiceNow GRC, Resolver)
• Support reporting, dashboard creation and automation of risk and compliance processes

Security GRC Specialist

• Set up, change and deactivate access for all employees and external partners
• Administer user access provisioning, de-provisioning, and role-based access controls (RBAC) across systems and applications
• Maintain and enforce access management policies, standards, and procedures
• Monitor and audit access logs and user activity to ensure compliance
• Collaborate with IT, HR, and business units to ensure timely and accurate access changes
• Support identity governance tools such as SailPoint, Okta, Azure AD, or similar platforms
• Participate in access reviews, certifications, and remediation activities
• Troubleshoot access-related issues and provide support to end-users
• Assist in the implementation of automation and self-service capabilities for access requests
• Document processes and maintain access control documentation
• Stay current with industry trends and best practices in identity and access management (IAM)

System Access Administrator

• Respond to inquiries via telephone, email, or chat regarding products and services in an efficient, compliant, courteous, and professional manner
• Provide exceptional customer experience and find creative, personalized solutions
• Act as primary contact for clients to resolve problems and complaints with empathy and focus on solutions
• Drive continuous improvement by identifying and participating in process improvements
• Understand and apply department operating policies and procedures
• Report to the Supervisor, Service Center and collaborate with Contact Centre team

Bilingual Client Solutions Officer

Financial Planning and Analysis

• Respond to inquiries via telephone, email, or chat on Qtrade Direct Investing (QDI) products and services in an efficient, compliant, courteous, and professional manner
• Support clients by managing the order flow for online trading from self-directed clients
• Act as the primary contact for resolution of problems and complaints, initiate investigations, record details, refer departments and conduct follow-up
• Keep current with market trends and news that may affect markets and clients’ investment decisions
• Drive continuous improvement by identifying, suggesting and actively participating in process improvement
• Understand and apply department operating policies and procedures
• Report to the Manager, Online Trading and support Financial Advisors and clients across Canada