Compliance Manager at Aviso Wealth

Enhance your career with Aviso Wealth as a Compliance Manager focused on supporting advisors and ensuring regulatory compliance. Play a vital role in supervision and compliance across Canada.

The Compliance Manager position entails Tier 1 daily supervision of advisors, collaborating with head office staff to uphold Aviso's compliance functions. You'll be responsible for approving accounts, conducting trading activity reviews, resolving compliance issues, and providing advisors with essential educational support. This is an exciting chance to lead compliance initiatives and maintain effective relationships within the organization.

Key Responsibilities:

• Approve new accounts and significant account changes

• Perform Tier 1 daily and monthly advisor reviews

• Resolve compliance issues efficiently

• Serve as a key contact for compliance inquiries

• Conduct branch visits at partner locations as needed

Requirements:

• 5+ years in financial services

• CIRO registered as a Branch Manager

• Compliance Officer or Advisor experience

• Strong knowledge of industry regulations

• Effective communication and mediation skills

Drive excellence in compliance support, regulatory adherence, and advisor education as a Compliance Manager at Aviso Wealth.
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