Compliance Officer,Finance & Banking Job Vancouver area,BC Canada,Finance & Banking

Aviso Wealth:

At Aviso, we are dedicated to improving the financial well-being of Canadians. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. Working with talented and energetic professionals who exemplify our values every day, you will quickly notice that our people and dynamic ‘oneaviso’ culture sets us apart. If you are looking for interesting and challenging work, at a company committed to its people, find out more about what Aviso has to offer at

The Opportunity:

We’re looking to fill an opening for a Compliance Officer to join our Branch Examination team.

Reporting to the Senior Manager, Branch Examination, the Compliance Officer is responsible for conducting onsite and/or remote branch and sub-branch examinations of CIRO dealer business locations. As this is a hybrid role, work will be performed from an Aviso office and also onsite at partner branches. The Compliance Officer role is a position which requires supervisor registration.

Who you are:

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 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

What your day looks like:

Conduct onsite and/or remote examinations of CIRO (both mutual funds and investment), branch and sub-branch locations of our dealer business

Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures

Communicate audit results and follow up on action items

Update and maintain the audit schedule and prepare detailed audit reports, identifying issues, recommending corrective actions, and following up with our financial institution partners in closing outstanding items in accordance with existing policy and procedures

Support the maintenance and improvement of the Branch Review Program in accordance with updated regulatory changes and dealer policies and procedures

Perform various internal testing and examinations at head office as required and perform other duties and special projects

Requirements

Your experience and skills:

University Degree related to finance and securities preferred

Successful completion of requisite courses (ie: Canadian Securities Course) with an ability to be licensed with CIRO

3 to 5 years of compliance supervision experience within the financial services industry

Experience as a Branch Compliance Officer, Branch Manager, Branch Auditor, Compliance Officer, or Financial Advisor in a mutual fund dealer or investment dealer firm is preferred

Sound knowledge of the rules and regulations governing the securities industry

Proficient in Microsoft Outlook, Excel and Word

Experience operating in a Credit Union system and familiarity with Dataphile is an asset

Excellent analytical and investigative skills with strong attention to detail

Excellent interpersonal skills with the ability to present information to different audiences

Excellent organizational and time management skills

Disciplined work ethic and committed to producing excellence in work output

Ability to work with minimum supervision with a strong commitment to customer service

This position must have the ability to travel to branch locations up to 25%. Travel may increase in the future.

Fluent communication skills in English are required and bilingual skills in French are…


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Compliance Officer, Finance & Banking