Trade Compliance Officer Financial

Join Aviso Financial as a Trade Compliance Officer and enhance regulatory adherence with your expertise. Participate in trade surveillance and analytical reviews to foster compliance excellence.

In this critical role reporting to the Director of Trade Compliance, you will oversee daily trade compliance activities and trend analysis. With 3 to 5 years of experience, your responsibilities will focus on detecting manipulative trading practices while ensuring adherence to Canadian regulatory standards. You will also educate others in trade compliance through reports and communication.

• Conduct daily/monthly compliance report reviews
• Amend policies and procedures for PRO accounts
• Approve current brokerage and institutional accounts
• Prepare regulatory reports on CIRO rules
• Provide trade compliance education via email and newsletters

• Related post-secondary degree required
• 3-5 years of industry experience
• Knowledge of mutual funds and legislation
• CIRO Supervisor registration completion
• Strong analytical, investigative and interpersonal skills

This role is ideal for those dedicated to achieving compliance excellence within the finance sector.

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