Trade Compliance Officer

The Opportunity

We’re looking for a Trade Compliance Officer to join our Compliance team.

Reporting to the Manager of Trade Compliance, the Compliance Officer, Trade Compliance is responsible for day-to-day trade compliance activities of for all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This includes daily and monthly trade surveillance reviews and quarterly trend analysis to detect manipulative and deceptive trading activities, in accordance with regulatory requirements established by Canadian Investment Regulatory Organization (CIRO), and the provincial Securities Commissions, as well as AFI internal policies and procedures.

This role will be a subject matter expert on the Universal Marketplace Integrity Rules ("UMIR").

• Service – You put your clients’ needs first. You advocate service excellence, and work to deliver client‑centric solutions, and proactively develop strategic partnerships that allow Aviso Wealth to become a trusted advisor and partner
• Execution – You are committed to achieving your goals and to succeed. This includes focusing on “getting things done”, as well as recognizing and taking advantage of opportunities as they arise. You are consistently looking for ways to improve your personal best and see value in continuous improvement. You take accountability for your actions and learn from mistakes
• Collaboration – You work collaboratively with others with the common goal of driving positive results. Making meaningful contributions to your team to achieve organizational goals is a priority. You proactively encourage collaboration, build trust and inclusion, and work to establish effective relationships both inside and outside of the organization

• Daily and Monthly review of compliance reports for Manipulative and Deceptive trading activities and/or other securities regulations violations (i.e. high close, spoofing, wash trades, insider trading trade markers)
• PRO account trading reviews, amend and/or enhance policies and procedures and update process documents
• New Account Approvals for online brokerage and institutional accounts, reviewing credit reports, assessing account appropriateness (if applicable), and validating complete documentation
• Daily and Monthly review of supervision reports for CIRO Rules, and prepare/review and submit regulatory reports (i.e. PRO account activity, $1500 Reviews, MTRS reporting, Short report, OTCBB reporting)
• Communicating with advisors/introducing brokers regarding any trade compliance concerns and tracking issues to ensure resolution
• Provide day to day trade compliance education support to all business lines via the Trade Compliance email box and/or by preparing Compliance Newsletter content

• Post secondary degree in related field
• 3 - 5 years industry work experience, minimum 4 years in a specialized role
• Knowledge and understanding of the mutual funds industry and the related legislative and regulatory framework
• Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as a CIRO Supervisor are required.
• Completion of the Options Supervisor Course and the Canadian Commodities Supervisor Course are preferred
• CIRO - Registration as a supervisor as equity or options or willing to take it for futures
• Curious mindset and desire to find solutions to improve business functions and process efficiencies
• Excellent Analytical/investigative skills and attention to detail
• Excellent interpersonal skills and effective presentation skills
• Ability to work with minimum supervision with a strong commitment to customer service
• Disciplined work ethic and committed to producing excellence in work output
• Proficient in Microsoft Outlook, Excel and Word
• Fluent communication skills in English are required and bilingual skills in French are an asset

• 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

Aviso welcomes and encourages applications from all qualified individuals including persons with disabilities. If you require an accommodation, we will work with you to meet your needs in all stages of the hiring process.

This position is posted with an expected salary range of $85,000 - $90,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.