Aviso Wealth

Manager, Trade Compliance

Aviso Wealth

full-time

Posted on:

Location Type: Hybrid

Location: Toronto • 🇨🇦 Canada

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Salary

💰 CA$100,000 - CA$110,000 per year

Job Level

Mid-LevelSenior

About the role

  • Reporting to the Director of Trade Compliance the Trade Compliance Manager is responsible for maintaining and developing an effective trade compliance program for all business lines of Aviso Financial Inc.
  • Leading the supervision of day to day activities of Trade Compliance through delegation of tasks, providing trade compliance guidance, advice and support to Trade Compliance Officers and other business units, and monitoring performance and the effectiveness of trade compliance processes.
  • Being a subject matter expert on the Universal Marketplace Integrity Rules (“UMIR”) and having a team of Trade Compliance Officers reporting to them.
  • Monitoring market conduct, regulatory reporting and trade surveillance to fulfill US SEC reporting obligations under SEC Form 13F and 13H.

Requirements

  • Post secondary degree in related field combined with 5 - 7 years industry experience in trade compliance, market surveillance or regulatory oversight preferably within an investment dealer or wealth management firm
  • 2 to 4 years of people management experience
  • Good knowledge of CIRO rules, CSA instruments, OSC/AMF requirements and applicable securities laws.
  • Experience with trading platforms, market surveillance systems and data analysis tools (e.g. Position Watch, Dataphile, Nasdaq NTS)
  • Successful completion of the IDSC and the requisite courses for registration as a CIRO Supervisor are required.
  • Completion of the Options Supervisor Course and the Canadian Commodities Supervisor Course are preferred
  • CIRO - Registration as a supervisor as equity and options or willing to take it for futures
  • Excellent Analytical/investigative skills and attention to detail
  • 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
Benefits
  • Competitive compensation package that rewards and recognizes individual contributions
  • Excellent health, dental and insurance benefits to meet the diverse needs of our employees
  • Generous vacation time, fitness benefit, parental leave top-up options
  • Matching contributions to our retirement program
  • Commitment to the continuous improvement of our staff through learning & development and an education assistance program
  • Regular social events to foster teamwork

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
trade compliancemarket surveillanceregulatory oversightdata analysisanalytical skillsinvestigative skillsattention to detailpeople management
Soft skills
communication skillsdisciplined work ethiccommitment to excellence
Certifications
IDSCCIRO Supervisor registrationOptions Supervisor CourseCanadian Commodities Supervisor Course