Aviso Wealth

Compliance Officer, Correspondent and Institutional

Aviso Wealth

full-time

Posted on:

Location Type: Hybrid

Location: Toronto • Canada

Visit company website

Explore more

✨ AI Apply
Apply

Salary

💰 CA$80,000 - CA$90,000 per year

About the role

  • 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

Requirements

  • 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
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 projectssecurities regulationsanalytical skillsinvestigative skillsattention to detailcustomer serviceMicrosoft OutlookMicrosoft ExcelMicrosoft Word
Soft Skills
interpersonal skillspresentation skillsability to work with minimum supervisiondisciplined work ethiccommitment to excellence
Certifications
Investment Dealer Supervisor courseOptions Supervisor courseDerivatives Fundamentals CourseOptions Licensing Course