Branch Compliance Manager at Aviso Wealth

Drive compliance excellence at Aviso Wealth as a Branch Compliance Manager, overseeing Tier 1 supervision of advisors across Canada. This role ensures adherence to compliance regulations while fostering advisor success.

The Branch Compliance Manager will focus on supervising daily advisor activities and managing compliance functions in collaboration with head office staff. With at least five years in financial services, you will leverage your experience as a Compliance Officer or Branch Manager. Your strong communication and organizational skills will be crucial in addressing compliance issues and providing ongoing support.

Key Responsibilities:

• Approve new accounts and material account changes

• Conduct daily and monthly advisor trading reviews

• Resolve compliance issues, escalating when necessary

• Serve as key compliance contact for advisors

• Conduct branch visits as needed

Requirements:

• 5+ years in financial services

• CIRO registration eligibility as Branch Manager

• Strong knowledge of compliance regulations

• Excellent written and verbal communication skills

• Detail-oriented with strong analytical skills

Combine your leadership skills and compliance expertise to help Aviso Wealth thrive across Canada.
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