Compliance Officer, Temporary

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 for 12 months.

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.

As oneaviso:

• We Care – You do the right thing for clients, partners and colleagues. You build trusted relationships, champion service excellence, and contribute to a culture where people feel valued and supported

• We Dare –You challenge the status quo with bold ideas and fresh perspectives. You embrace change, seek opportunities to innovate and are comfortable exploring new ways of working

• We Share – You collaborate openly and build meaningful relationships. You seek out diverse perspectives, share your knowledge and work together to help colleagues, clients and partners succeed

• We Deliver – You take ownership of your work, honour your commitments and focus on delivering meaningful results. You hold yourself accountable and continuously look for ways to improve

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…