Registrations Officer, Temporary

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

We’re looking for a Registrations Officer to join our Registrations team on a 12 month contract.

Reporting to the Manager, Registrations, the Registrations Officer is responsible for all aspects of registration, licensing and E&O insurance with the various provincial securities commissions, provincial insurance councils, self-regulatory organizations (SROs) and E&O provider for all of the lines of business at Aviso Wealth. In addition, this position is responsible for maintaining current databases and records related to registrations/licensing, developing and communicating registration/licensing requirements and procedures throughout Aviso Wealth Inc.

and responding to specific inquiries and issues.

• Process registration forms and related materials with respect to licensing, material changes, and terminations, through the National Registration Database (NRD) and insurance councils for Aviso’s dealing representatives, supervisors, branch managers, portfolio managers, executives, permitted individuals, branches and sub‑branches.
• Escalate applications and material changes to the Manager, Registrations when screening guidelines are not met, a financial/regulatory/criminal/civil or other misconduct is disclosed, as well as additional requests outside of documented processes.
• Track registrants and licensees to ensure all required educational and proficiency requirements are satisfied and individuals comply with the Securities/Insurance Act and SRO restrictions for the relevant categories of registration as well as track other licenses, designations, and outside activities.
• Process applications, changes and terminations to Errors & Omissions Insurance coverage, coordinating with E&O provider, as applicable.
• Liaise with Aviso staff, Registrations personnel, provincial regulators, E&O provider and Credit Unions on registration related matters, to obtain information and materials related to registrations and E&O, to ensure compliance with regulatory requirements, and to co‑ordinate advisor onboarding and offboarding processes.
• Respond to financial institution registration and E&O related inquiries and requests from the regulators and from within Aviso and conduct relevant research as required and provide resolutions for any outstanding registration issues and deficiencies.
• Maintain current databases (i.e. CLRS, Univeris, Supervision INSIGHTS, NRD, WIP spreadsheet, Advisor Listing spreadsheet) with applicable registration and related information.
• Stay current on regulatory registration/licensing requirements and legislative changes affecting the financial industry.
• Provide assistance and feedback to the compliance team with the delivery of registration/licensing/E&O policies and procedures and with forms and document templates which affect Aviso registrations and licensing.
• Respond to MFDA, IIROC and Insurance accounting inquiries and reconcile registration fees.
• Tracking of all QA and QAM New Advisor/Rep Supervision.

• Successful completion of CSC or IFIC (preferably CSC) and CPH within 1 year of joining Aviso.
• Intermediate skills in MS Word, Excel & Outlook and ability to pick up new applications quickly.
• Two years’ experience in investment/banking/mutual fund/insurance dealer and/or securities/insurance regulator.
• Experience in operating within the Credit Union System is an asset.
• Extremely detail‑oriented with strong organizational, time management and analytical skills.
• Proficient in completing accurate, clear and concise documentation.
• Ability to work independently with minimum supervision and a high degree of personal initiative.
• Ability to deal with…