Compliance Officer
Aviso Wealth
full-time
Posted on:
Location Type: Hybrid
Location: Toronto • Canada
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Salary
💰 CA$83,000 - CA$92,000 per year
About the role
- Conduct onsite and/or remote examinations of CIRO (both mutual funds and investment), branch and sub-branch locations of our dealer business
- Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures
- Communicate audit results and follow up on action items
- Update and maintain the audit schedule and prepare detailed audit reports, identifying issues, recommending corrective actions, and following up with our financial institution partners in closing outstanding items in accordance with existing policy and procedures
- Support the maintenance and improvement of the Branch Review Program in accordance with updated regulatory changes and dealer policies and procedures
- Perform various internal testing and examinations at head office as required and perform other duties and special projects
Requirements
- University Degree related to finance and securities preferred
- Successful completion of requisite courses (ie: Canadian Securities Course) with an ability to be licensed with CIRO
- 3 to 5 years of compliance supervision experience within the financial services industry
- Experience as a Branch Compliance Officer, Branch Manager, Branch Auditor, Compliance Officer, or Financial Advisor in a mutual fund dealer or investment dealer firm is preferred
- Sound knowledge of the rules and regulations governing the securities industry
- Proficient in Microsoft Outlook, Excel and Word
- Experience operating in a Credit Union system and familiarity with Dataphile is an asset
- Excellent analytical and investigative skills with strong attention to detail
- Excellent interpersonal skills with the ability to present information to different audiences
- Excellent organizational and time management skills
- Disciplined work ethic and committed to producing excellence in work output
- Ability to work with minimum supervision with a strong commitment to customer service
- This position must have the ability to travel to branch locations up to 25%. Travel may increase in the future.
- 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 & Tools
compliance supervisionaudit reportinginternal testingregulatory requirementsfinancial analysisinvestigative skillsattention to detailcustomer serviceCanadian Securities Courseknowledge of securities regulations
Soft Skills
interpersonal skillsorganizational skillstime managementanalytical skillscommunication skillsdisciplined work ethicability to work independentlypresentation skillscommitment to excellenceability to follow up
Certifications
University Degree in finance or securitiesCIRO licensing