Trade Compliance Analyst at Aviso

Elevate your compliance expertise with Aviso as a Trade Compliance Analyst, focusing on trade surveillance and CIRO regulations. This role is ideal for those looking to leverage their analytical abilities in compliance practices.

As part of the Compliance team, you will report to the Director of Trade Compliance. Your key duties include conducting compliance reviews to identify manipulative behaviors and refining educational policies for the organization. Your contributions will be essential to Aviso’s commitment to trade compliance.

Key Responsibilities:

• Examine compliance reports for regulatory infractions

• Carry out PRO account trading assessments and document findings

• Approve new brokerage and institutional accounts for compliance

• Prepare and present regulatory compliance documentation

• Convey trade compliance issues to advisors effectively

Requirements:

• Postsecondary education in a related field

• 3–5 years of applicable industry experience, 4+ in compliance

• In-depth knowledge of mutual funds regulatory framework

• CIRO Supervisor Course and additional credentials required

• Excellent analytical, interpersonal, and customer service skills

Enhance your skills while supporting Aviso's focus on trade compliance and process innovation.
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