Aviso Wealth

Administration

• 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
• Conduct 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

• Traiter les nouveaux comptes conformément aux ententes de niveau de service
• Fournir un soutien administratif et assurer la prise en charge des activités à honoraires, y compris la gestion continue des comptes dans nos différents programmes à honoraires
• Respecter le protocole de traitement des demandes en fournissant des notes claires et concises contenant des informations pertinentes et actualisées provenant de sources internes et externes
• S’assurer que les documents sont complets et exacts et saisir et mettre à jour les données de la clientèle
• Utiliser adéquatement tous les systèmes pertinents (Laserfiche, OSM, Dataphile) conformément aux politiques de l’entreprise et à la réglementation sectorielle
• S’assurer que les comptes sont bien préparés conformément aux formulaires d’ouverture de compte (« FOC ») et que les transactions sont codées selon les règles de déclaration fiscale
• Mettre les manuels internes à jour en fonction des modifications apportées aux politiques de l’entreprise, à la réglementation sectorielle et aux systèmes et procédures
• Informer les pairs et le superviseur ou la superviseure de tout problème ou changement
• Organiser régulièrement des formations transversales afin de favoriser l’apprentissage de tous les aspects des fonctions de traitement
• Favoriser un environnement d’amélioration continue permettant de stimuler les idées, la curiosité et la participation à diverses initiatives.
• Respecter, voire surpasser les attentes des partenaires et de la clientèle au quotidien, démontrant une compréhension de l’incidence de votre travail sur ces parties

Administrateur, Nouveaux Comptes

Compliance

• Perform approval of new accounts and material changes to existing accounts
• Perform Tier 1 daily and monthly reviews of advisor trading activity
• Deal with compliance issues as identified, through to resolution and/or appropriate escalation
• Key day-to-day contact for advisors regarding compliance related matters
• Follow up with advisors on missing documentation
• Act as back-up during absence of other Branch Compliance Managers and compliance staff
• Support advisors with ongoing compliance education and training
• Assist with compliance projects and initiatives as needed
• Conduct branch visits at partner locations as required

Branch Compliance Manager

• Providing support to tax administrators on complex issues and escalations that require QI, FATCA, CRS, 1042-S and 1099 tax reporting expertise
• Providing support to the New Accounts Department as needed with respect to QI/FATCA and CRS documentation and coding
• Assist in auditing regulatory reporting as it relates to QI, FATCA, CRS, 1042-S and 1099 prior to submission
• Annual assistance and auditing of CRS and FATCA XML reporting accuracy by assisting in annual report testing and CRA schema updates
• Participating in mock audit sample reviews to ensure accurate application of US withholding tax against valid client documentation
• Active participant in Year End Info Sessions hosted by Broadridge
• Ensure and actively share all trustee and government regulatory requirements and knowledge
• Identifies process improvements, implements, and updates departmental procedures and manuals and actively shares updates with the rest of the team and management to ensure all are aware of procedural updates
• Proactively driving a culture of collaboration and teamwork as a team member and provides coverage if the primary or secondary back-ups are not available
• Updates client documentation status on Dataphile as per regulatory requirements
• Transformational change – Actively participate in building a new team to support Aviso Tax Compliance goals/milestones including helping to establish new processes and procedures according to regulatory requirements and supporting policy and procedure rollouts to other OPs teams and the business
• Participating in and support the implementation of new onboarding applications/tools by influencing business requirements, participating in workshops, and completing user testing
• Participating in periodic IRS and CRA audits by compiling and providing historical documentation and reports to auditors, reviewing results and solutions and working with potential consultants on resolving issues identified during audits
• Support ongoing projects

Tax Compliance Officer

Affiliate Manager

• La personne titulaire est responsable de la planification stratégique et de la réalisation des activités liées à la gestion du patrimoine de la Caisse populaire Alliance.
• Elle mobilise une équipe de professionnels et contribue à son développement.
• Cette équipe se distingue par ses compétences en gestion privée, en planification financière, en approche portefeuille, en produits de valeurs mobilières, en financement et en stratégies de placement.
• Elle agit également comme personne-ressource en développement des affaires pour l’ensemble des dossiers touchant l’épargne et l’investissement.
• Sous la direction de la vice-présidence expérience membres, la direction gestion du patrimoine supervise et dirige l’équipe de gestion des avoirs de la Caisse.
• Elle offre un soutien constant à tous les centres de services dans ce domaine.
• Diriger l’ensemble des activités liées au développement, au déploiement et à l’encadrement de la gestion des avoirs, lesquelles peuvent entraîner des répercussions importantes sur la rentabilité des opérations;
• Soutenir la vice-présidence expérience membres dans l’élaboration, la mise en œuvre et le suivi du plan stratégique et du plan d’affaires annuel de la Caisse;
• Préparer et planifier la répartition des tâches en collaboration avec le secteur des ressources humaines;
• Établir les objectifs de rendement et effectuer les suivis appropriés afin d’assurer leur atteinte selon les priorités stratégiques annuelles de la Caisse;
• Embaucher et encadrer le personnel sous sa direction;
• Mettre en application les plans d’action découlant du plan d’affaires annuel;
• Orienter, superviser, mobiliser et développer une équipe généralement composée de conseillers en produits spécialisés en GDA, de conseillers en conformité GDA, de directions en gestion des avoirs, de planificateurs financiers, de conseillers en gestion des avoirs et d’agents de services financiers affectés à la vente d’une gamme de produits et services spécialisés en gestion du patrimoine;
• Élaborer des stratégies de développement des affaires (techniques de vente et de sollicitation) et ainsi assurer la croissance et la rentabilité du secteur des avoirs de la Caisse, en plus d’atteindre les objectifs établis;
• Analyser les produits offerts (rentabilité et pertinence) afin de développer un plan de vente et l’approche membre;
• S’assurer d’une offre de services complète et intégrée pour les membres desservis par ses équipes, en mettant à profit les services offerts par la Caisse et ses centres de services;
• Assurer la conformité en valeurs mobilières et mobiliser l’agent de conformité dans le cadre de la vente de ces produits;
• Assurer la qualité des services ainsi que la proactivité du personnel dans la réponse aux besoins des membres, tout en effectuant le suivi de leur satisfaction;
• Assurer l’efficience et l’amélioration continue de l’ensemble des processus du secteur;
• Maintenir des partenariats d’affaires (internes et externes) en fonction des besoins de la Caisse dans une perspective d’équilibre entre la satisfaction des membres, la rentabilité et le niveau de risque;
• Assurer la liaison avec les partenaires externes;
• Se tenir informé de l’environnement concurrentiel qui l’entoure et des pratiques des entreprises les plus performantes;
• Collaborer avec l’équipe de marketing dans la création de campagnes promotionnelles efficaces et originales;
• Être responsable du développement continu de ses propres compétences et de la connaissance de son champ d’activité;
• Mettre en place des pratiques favorisant la gestion des talents et de la performance;
• Favoriser un bon esprit d’équipe, autoriser les congés ainsi que traiter et résoudre les situations conflictuelles.

Direction gestion du patrimoine – Partner

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 our clients by managing the order flow for online trading from our self-directed clients
• Act as the primary contact with the client with respect to the resolution of problems and complaints by initiating an investigation, recording details, referring to the relevant department and conducting appropriate follow-up
• Keep current with market trends and news items which may affect markets and impact client’s investment decisions
• Drive continuous improvement by identifying, suggesting and actively participating in process improvement
• Understand and apply department operating policies and procedures

Investment Representative

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

Bilingual Customer Service Representative

Product Designer

• Collaborating closely with your primary delivery team
• Building relationships with business leads and stakeholders
• Understanding user needs and data analysis
• Defining and designing user experience
• Researching and validating requirements with users and stakeholders
• Prototyping and testing solutions for iterative design
• Documenting reusable patterns leveraging design system
• Advocating for user-centered practice within the organization
• Communicating design vision with Product Managers and Technical Leads

Bilingual Investment Representative

Bilingual

• Respond to inquiries about Qtrade Investor products and services by phone or email in an efficient, compliant, courteous and professional manner
• Accept orders for transmission, carefully calculating commissions and conversion fees and performing any other relevant calculations quickly and accurately
• Before executing a client’s order, obtain all necessary authorizations, remain aware of any special conditions and liaise with the appropriate department as required
• Facilitate the account documentation process by discussing requirements with the client and ensuring the appropriate forms are completed
• Maintain in-depth knowledge of the operations and conventions of relevant stock and options exchanges and be proficient with the information systems that support Qtrade Investor services
• Stay informed of trends and news that may affect the markets and clients’ investment decisions
• Have a solid understanding of the fundamentals and techniques of securities support services and related functions—such as trade settlement procedures, back-office securities activities, share reorganization issues, margin and trading—and be able to assess individual situations and obtain required authorizations
• Maintain thorough knowledge of all relevant compliance matters as well as applicable regulatory and government policies and procedures
• Identify and report administrative issues and provide recommendations to improve service quality
• Act as the primary client contact for resolving issues and complaints by conducting investigations, recording data, consulting the appropriate department and following up as needed
• Meet or exceed departmental productivity targets

Investment Representative, Bilingual

Sales Operations Manager

• Maintaining relationships with prospective and existing Direct Investing partners, clients, and internal stakeholders to support business development, onboarding, and ongoing engagement
• Supporting the execution of business processes by understanding partner and client needs, coordinating tailored follow-ups, and helping advance opportunities through the pipeline
• Developing and executing client-facing and partner-facing communications, including outreach materials, updates and coordinated messaging
• Planning and coordinating client and partner events/meetings, including logistics, invitations, follow-ups and post-event reporting
• Scheduling and managing large group meetings, including strategic client meetings, for the Strategic Partnerships and High Priority Client teams
• Supporting Relationship Directors on partner onboarding requests and escalations
• Collaborating closely with sales leadership and other functional partners (e.g marketing) to improve go-to-market execution, partner engagement, and results
• Supporting sales prospecting efforts by identifying, researching and qualifying new opportunities

National Sales Enablement and Partnership Coordinator

• **What your day looks like:**
• - *Duties and Regulatory Responsibilities*
• - Ensure scheduled tax audits are processed and completed within deadlines
• - Ensure any transaction corrections are corrected and completed before tax production
• - Ensure all tax related requests received are addressed and completed within SLA deadlines
• - Responsible for Tax Slip Production and submission of files to DOXIM
• - Reviews all vendor portals before their deadlines to ensure all instructions are correct and current
• - Escalates any tax related issues that require management review and intervention
• - Stay current on both CRA, and IRS Qualified Intermediary/FATCA rules/CRS rules and regulations through the review of legislation, press releases, and industry information bulletins
• - Prepare and/or review year-end tax reporting forms for Plan and Non-Plan client accounts
• - Monitor CRA, MRQ, IRS, CIRO (formerly MFDA and IIROC) websites regularly for tax changes and share the information with the team and update the procedures manual accordingly
• - Gather information for the internal and external auditors
• - Provide support and service for proper Client Reporting
• *Audits and Risk Control*
• - Review current process of monthly tax audits of tax reporting
• - Performs data validation checking tax reports against accounts in our internal system
• - Identify outstanding items and resolve these in a timely manner
• - Proactively identify and implement process improvements
• - Research and promptly resolve escalated issues
• - Ensure all discrepancies in clients accounts are escalated to the processing area to be address in a timely manner
• *Tax Reconciliation and Remittance*
• - Performs tax remittances to CRA, MRQ and IRS and balancing of the tax internal control accounts vs CRA, MRQ and IRS remittance accounts
• - Process weekly/monthly withholding tax remittances to CRA, MRQ and IRS within deadline
• - Ensure accurate and timely charging and remittance of non-resident and back-up withholding taxes as required by regulation for both resident and non-resident clients
• *Document Maintenance*
• - Maintain and document departmental procedures
• - Recommend and implement procedures to streamline workflow

Bilingual Tax Administrator

• 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