Branch Compliance Manager at Aviso Wealth

Become a key leader in compliance with Aviso Wealth as a Branch Compliance Manager for 9 months. Ensure Tier 1 supervision of advisors and maintain oversight of compliance functions across Canada.

Aviso Wealth is searching for a Branch Compliance Manager to support its compliance team. This role involves daily supervision, advisor trading activity reviews, and resolving compliance issues. You'll collaborate with head-office compliance staff, provide training, and assist with compliance projects while building effective relationships with advisors.

Key Responsibilities:

• Approve new accounts and changes to existing accounts

• Perform daily and monthly reviews of advisor trading

• Address compliance issues through resolution or escalation

• Serve as the main contact for advisors on compliance

• Conduct branch visits as needed

Requirements:

• 5+ years in financial services sector

• Registration as a Branch Manager with CIRO

• Experience with IIROC/MFDA firms

• Strong knowledge of industry regulations

• Proficiency in Microsoft Office applications

Lead compliance efforts at Aviso Wealth and drive service excellence across advisory teams.
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