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Branch Compliance Manager
Aviso WealthBranch Compliance Manager managing compliance for financial advisors across Canada. Providing daily supervision and collaborating with head office compliance team.
About the role
Key responsibilities & impact- 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
Requirements
What you’ll need- 5+ years of experience in the financial services industry
- Ability to be registered as a Branch Manager with CIRO (formerly IIROC and MFDA)
- Experience as a Branch Manager, Compliance Officer or Advisor in an IIROC/MFDA firm
- Strong knowledge of industry rules and regulations
- Strong verbal and written communication skills
- Strong mediation and influencing skills
- Strong organizational and time management skills
- Strong analytical skills with an attention to detail
- Proficient in Microsoft Outlook, Word and Excel
- Experience with Dataphile an asset
- High level of product knowledge
- Fluent communication skills in English are required and bilingual skills in French are an asset
Benefits
Comp & perks- 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
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliancefinancial servicesBranch ManagerCompliance Officeradvisor trading activityanalytical skillsproduct knowledge
Soft Skills
verbal communicationwritten communicationmediation skillsinfluencing skillsorganizational skillstime managementattention to detail
Certifications
CIRO registration