Aviso Wealth

Administration

• **What your day looks like:**
• *Regulatory duties and responsibilities*
• Ensure scheduled tax checks are processed and completed within prescribed timelines.
• Ensure all transaction corrections are made before tax return production.
• Ensure all tax-related requests received are handled within the timeframes set by the service level agreement.
• Responsible for producing tax slips and sending files to DOXIM.
• Review all vendor portals before deadlines to ensure instructions are accurate and up to date.
• Escalate any tax-related issues that require management review and intervention.
• Stay current on CRA and IRS regulations regarding qualified intermediaries, FATCA rules and NCD requirements by reviewing legislation, press releases and industry bulletins.
• Prepare and/or review year-end tax reporting forms for client accounts, whether plan-related or not.
• Regularly monitor the CRA, Revenu Québec (MRQ), IRS and OCRI (formerly ACFM and OCRCVM) websites for tax changes and communicate updates to the team to update the procedures manual accordingly.
• Gather information for internal and external auditors.
• Provide support and service for the preparation of appropriate client reports.
• *Audits and risk control*
• Review the current monthly tax verification process for tax information.
• Validate data by comparing tax information to account details in our internal system.
• Identify outstanding items and resolve them in a timely manner.
• Proactively identify and implement process improvements.
• Research and promptly resolve reported issues.
• Ensure all discrepancies in client accounts are forwarded to the processing department for timely resolution.
• *Tax withholding reconciliation and remittance*
• Make tax withholding remittances to the CRA, Revenu Québec (MRQ) and the IRS and reconcile internal tax control accounts to CRA, MRQ and IRS remittance accounts.
• Process monthly tax withholding remittances to the CRA, MRQ and IRS within prescribed deadlines.
• Ensure accurate and timely calculation and remittance of non-resident withholdings and reserve tax withholdings as required by regulation for resident and non-resident clients.
• *Documentation and maintenance of procedures*
• Maintain and document departmental procedures.
• Recommend and implement procedures to streamline workflow.

Bilingual Tax Administrator

Project Manager

• Manage project plans and budgets, including accurate tracking of financials and resourcing
• Ensure project alignment and compliance with standards and policies
• Assist with integration management of strategic and departmental projects
• Coordinate with other project managers to ensure timely and complete delivery of projects, maintaining awareness of interdependencies and communicating to stakeholders
• Manage issue resolution, risk mitigation, and escalations
• Provide accurate and timely project performance reporting to the program manager, executives, project sponsors, and relevant stakeholders
• Manage the change management process as it relates to project scope, schedule, cost, and expectations

Designer

• Act as the primary consultant for all Service Design initiatives for two product delivery squads, participating in problem definition, product planning, and management of two key client journeys for that line of business
• Lead end-to-end research initiatives to assess current state front and back-end experiences: coordinate participants, design research plans, facilitate sessions, analyze and triangulate data, define problems, and identify actionable insights
• Present research findings and insights to all levels of stakeholders in the form of design artifacts such as personas, ecosystem maps, summary videos, experience maps, and service blueprints
• Lead a cross-functional team of SMEs and decision-makers through the design exploration of future state recommendations: facilitate ideation and prioritization sessions, prototype and validate proof of concepts, and inform business planning of potential CX initiatives
• Contribute to optimizing service design operations (data repositories, participant management, templates, and tools) – pro-actively trying new and better ways of doing things.
• Play a key role in increasing customer centricity and design maturity across the organization
• Provide research and design subject matter expertise to other internal departments and external partners as required

Service Designer

• Coordinate, review, and distribute all Canadian and US depository mandatory and voluntary bulletins
• Process all mandatory and voluntary corporate actions for securities held at Aviso with exceptional accuracy and within specified service standards
• Process all daily entitlements
• Ensure all corporate actions are processed with appropriate US or Canadian tax treatment
• Set client accounts up for dividend reinvestment plans (DRIPs) based on requests received
• Provide excellent customer service to external and internal clients
• Ensure procedure manuals are updated regularly and in adherence with internal controls and regulatory requirements
• Actively participate in team meetings and seek ideas for process improvements

Corporate Actions Administrator

Manager

• Develop and lead change management strategies and plans to support organizational goals and drive enterprise adoption
• Ensure consistency and scalability of change management practices across the enterprise
• Manage complex stakeholder environments across functional areas and geographies
• Coach senior leaders to sponsor and role model change behaviors by giving expertise
• Lead change management activities, including communication, training, and stakeholder engagement
• Develop and maintain change management deliverables including impact assessments, change plans, and status reports
• Monitor and evaluate the effectiveness of change initiatives and make necessary adjustments
• Act as a trusted advisor to project teams and leaders on change management best practices and strategic direction
• Identify and mitigate risks associated with change initiatives
• Develop, evolve and embed change governance models, such as an enterprise change committee
• Mentor change managers and build internal change capability
• Foster a culture of continuous improvement and innovation
• Tailor change approaches to both waterfall and agile project methodologies, ensuring flexibility and alignment to business needs

Senior Change Manager

Bilingual

• Set and monitor standards for departmental procedures, ensuring quality, accuracy and efficiency maintaining SLA’s
• Set positive leadership tone through gaining respect of staff, peers and stakeholders
• Ensure staff members receive timely and appropriate training and development
• Coach staff to increase performance while increasing/maintaining employee engagement and career growth and support onboarding of new employees
• Ensure all processes and procedures are current in all manuals – internal and external, including departmental SLAs
• Responsible for internal and external communications while following the appropriate channels for distribution, liaising with external vendors and trustees as required
• Analyze current business practices and identify areas within the department for process improvements, make recommendations and implement procedures to streamline workflow
• Handle departmental project related work and participate in the implementation of department and division initiatives as required and delegate as necessary
• Support staff with escalated or complex issues and respond to all customer inquiries (internal/external) and ensure customer service levels are maintained within the department, updating management as appropriate
• Ensure appropriate staffing, training and development needs including cross-training of staff so that individuals are up to date and can provide redundancy in all positions within the team
• Review and approve daily journal postings and monthly account reconciliations (IIROC/MFDA)
• Monthly reporting of SLA standards, including exceptions, in a timely manner and create business plans to manage resources during high volumes
• Maintain current knowledge of industry initiatives and standards (MFDA/IIROC) and registered plans products, CDS/ATON, IIROC/MFDA rules, regulations, and protocols
• Liaise with management in the process and procedural reporting for both external and internal auditors as required

Bilingual Supervisor, Transfers

• Supervise and coordinate all activities of the department to ensure timely and accurate processing
• Department administrative duties include open/maintain accounts, client customer service, setup EFT banking information, system reconciliations, welcome letters, mail distribution, filing/scanning
• Handle all customer escalations (internal/external) and ensure customer service levels are maintained within the department
• Implement quality controls and facilitate regular quality assurance tests
• Collect and analyze key performance metrics for the department. Provide summaries of overall activity during the month, identifying any unique circumstances impacting the area and anticipated future events
• Provide recommendations to streamline/improve processes where appropriate
• Maintain current knowledge of industry regulations
• Update process maps and procedure manuals as required by changes in regulations, processing, and workflow
• Monitor department workload and assess requirements to handle changes in volumes. Plan resources by prioritizing functions and re-aligning resources to meet target deadlines
• Provide training and ongoing support to new and existing staff members
• Provide effective and ongoing performance feedback to staff members
• Facilitate staff meetings to provide department updates and to encourage the sharing of ideas, soliciting topics of conversation relevant to the team

Bilingual Supervisor, New Accounts

• Actively work with the non-contact team for metrics, quality, workforce management, and training delivery to your team.
• Ensure effective implementation of a service quality and process efficiency program to optimize client onboarding and client experience resulting in higher NPS scores and SQM Survey results and other ranking agency scores
• Work directly with Managers and Senior Managers in Operations and Compliance to find scalability and efficiency in processes
• Coordinate onboarding and ongoing development programs for reps in conjunction with the non-contact team
• Ensure top quartile delivery of service to Premier clients and ongoing expansion of that client base
• (QDI) Determine any service or trading policy changes for Active Trader or High Net Worth clients
• (QDI) Trading Manager to ensure trading activity is in compliance with credit and compliance rules. Set strategy for Investment Representative training and development
• (QDI) Set strategy on system, policy, error mitigation and procedural improvements to mitigate trade risk
• Ensure a continuous improvement culture whereby the manager and supervisor project a client first focus for their reps

Senior Manager, Service Center

• Set standards for departmental procedures and monitor them to ensure quality, accuracy and efficiency of work while meeting service level agreements (SLAs).
• Create a positive, leadership-driven environment by earning the respect of staff, peers and stakeholders.
• Ensure staff receive appropriate and timely training and development.
• Coach staff to improve performance while increasing/maintaining employee engagement and career progression, and support onboarding and integration of new employees.
• Ensure all processes and procedures are kept up to date in all manuals — internal and external — including the department’s service level agreements.
• Manage internal and external communications using appropriate distribution channels, liaising with external vendors and trustees as required.
• Analyze current business practices and identify areas where the department can improve processes; make recommendations and implement procedures to streamline workflow.
• Manage work related to departmental projects and participate in the implementation of department and divisional initiatives as needed, delegating when appropriate.
• Support staff with complex issues or escalations, respond to client (internal and external) inquiries and ensure customer service levels are maintained within the department, informing management as necessary.
• Forecast appropriate staffing levels as well as training and development needs, including cross-training staff so employees remain current and can perform the tasks required for each role on the team.
• Review and approve daily journal entries and monthly account reconciliations (IIROC and MFDA).
• Report monthly, in a timely manner, on the standards established by service level agreements, including exceptions, and create business plans to manage resources during high-volume periods.
• Stay current with industry initiatives and standards (MFDA and IIROC) and maintain up-to-date knowledge of registered plan products, CDS’s NELTC service, IIROC and MFDA rules, legislation and protocols.
• Liaise with management regarding process and procedure reporting for external and internal auditors, as required.

Bilingual Transfers Supervisor

• The administration of registered plan products and processing of requests such as de-registration, un-locking, specialized withdrawals, etc.
• Ensure that registrations, contributions, and withdrawals meet the regulatory deadlines for RESPs, RSPs, TFSAs, RIF accounts, FHSA, etc.
• Investigate, respond, and resolve all registered plan related inquiries within SLA deadlines, escalating any issues that require management review and intervention
• Completion of CIRO Registered Plan audits within internal and regulatory deadlines
• Working closely with Tax, Estates, Transfers, New Accounts and Client Account Maintenance for any updates required to registered plans
• Actively participate in Registered Plan Committee Meetings to ensure that trustee and regulatory changes are implemented into procedures and manuals, ensuring they are updated and current
• Remain current on CRA, RQ, ESDC and trustee regulations through the review of legislation, press releases, and industry information bulletins

Registered Plans Administrator

• Process transfer in requests according to service level agreements
• Monitor the transfers mailbox and collect incoming mail
• Initiate new manual or ATON transfers in and transfers out
• Track status and follow-up on initiated transfers
• Provide operational support for transfers to external institutions
• File completed transfer documents and shred all printed documents
• Review and respond to transfers in inquiries
• Assist / cover others in the Transfers Department as needed
• Handle special projects or other assignments as requested

Transfers Administrator – Temporary

Product Marketing

• Develop and execute measurable flexible go-to-market plans for the Asset Management business line, collaborating closely with internal cross-functional teams
• Apply trends in the financial markets, competitive landscape, digital platforms, and customer insights to create actionable plans to position our asset management products and solutions and bring value to our customers
• Translate complex information and data into compelling stories, working with internal teams to drive audience engagement and action
• Lead project implementation for program launches, marketing initiatives, events, and sales enablement materials (fund profiles, case studies, tools etc.), coordinating with a cross-functional team of business and marketing professionals
• Monitor, report, and optimize plans to deliver value and achieve targeted KPIs, evaluating strategy and execution to inform continuous improvement
• Ensure all communications comply with regulatory standards, established policies, procedures, and brand standards
• Build and maintain relationships with internal colleagues and stakeholders to leverage resources across product lines and delivery channels
• Prepare and maintain daily, weekly, monthly, and quarterly reports to support business management and identify market and channel opportunities
• Proactively identify process gaps, propose effective solutions, and enhance operational efficiency