Trade Compliance Officer

Aviso:

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 www.aviso.ca.

The Opportunity:

We’re looking for a Trade Compliance Officer to join our Compliance team.

Reporting to the Manager of Trade Compliance, the Compliance Officer, Trade Compliance is responsible for day-to-day trade compliance activities of for all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This includes daily and monthly trade surveillance reviews and quarterly trend analysis to detect manipulative and deceptive trading activities, in accordance with regulatory requirements established by Canadian Investment Regulatory Organization (CIRO), and the provincial Securities Commissions, as well as AFI internal policies and procedures. This role will be a subject matter expert on the Universal Marketplace Integrity Rules (“UMIR”).

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 Wealth 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:

• Daily and Monthly review of compliance reports for Manipulative and Deceptive trading activities and/or other securities regulations violations (i.e. high close, spoofing, wash trades, insider trading trade markers)
• PRO account trading reviews, amend and/or enhance policies and procedures and update process documents
• New Account Approvals for online brokerage and institutional accounts, reviewing credit reports, assessing account appropriateness (if applicable), and validating complete documentation
• Daily and Monthly review of supervision reports for CIRO Rules, and prepare/review and submit regulatory reports (i.e. PRO account activity, $1500 Reviews, MTRS reporting, Short report, OTCBB reporting)
• Communicating with advisors/introducing brokers regarding any trade compliance concerns and tracking issues to ensure resolution
• Provide day to day trade compliance education support to all business lines via the Trade Compliance email box and/or by preparing Compliance Newsletter content

Requirements

Your experience and skills:

• Post secondary degree in related field
• 3 - 5 years industry work experience, minimum 4 years in a specialized role
• Knowledge and understanding of the mutual funds industry and the related legislative and regulatory framework
• Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as an CIRO Supervisor are required.
• Completion of the Options Supervisor Course and the Canadian Commodities Supervisor Course are preferred
• CIRO - Registration as a supervisor as equity or options or willing to take it for futures
• Curious mindset and desire to find solutions to improve business functions and process efficiencies
• Excellent Analytical/investigative skills and attention to detail
• Excellent interpersonal skills and effective presentation skills
• Ability to work with minimum supervision with a strong commitment to customer service
• Disciplined work ethic and committed to producing excellence in work output
• Proficient in Microsoft Outlook, Excel and Word
• Fluent communication skills in English are required and bilingual skills in French are an asset

Benefits

Why Aviso?

At Aviso, you will find a dynamic and inclusive culture that rewards innovation and celebrates success.
Here are a few things that set us apart:

• Competitive compensation package that rewards and recognizes individual contributions
• Excellent health, dental and insurance benefits to meet the diverse needs of our employees
• Generous vacation time, fitness benefit, parental leave top-up options
• Matching contributions to our retirement program
• Commitment to the continuous improvement of our staff through learning & development and an education assistance program
• Regular social events to foster teamwork

Your Information

By submitting your application, you consent to the collection, use, and disclosure of your provided personal information for the purposes of assessing your qualifications and suitability for employment with Aviso. Your information will be handled in accordance with applicable Canadian privacy laws, including the Personal Information Protection and Electronic Documents Act (PIPEDA) and relevant provincial legislation. Your data may be shared with authorized personnel involved in the recruitment process and retained only as long as necessary to fulfill these purposes or as required by law.

Further information is available on the Privacy link on our Career Page – Privacy Policies

Equal Employment Opportunity

Aviso welcomes and encourages applications from all qualified individuals including persons with disabilities. If you require an accommodation, we will work with you to meet your needs in all stages of the hiring process.

We thank all applicants for their interest, however, only those selected for further consideration will be contacted.

No recruiters or agencies, please.

Company Overview:

Aviso is a leading wealth management and investment services provider for the Canadian financial industry, with approximately $145 billion in total assets under administration and management, and over 1,000 employees. We’re building a comprehensive, technology-enabled, client-centric wealth services ecosystem. Our clients include our partners, advisors, and investors. We’re a trusted partner for nearly all credit unions across Canada, in addition to a wide range of portfolio managers, investment dealers, insurance and trust companies, and introducing brokers. Our partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving, highly competitive industry. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager, NEI Investments, specializes in investing responsibly. Our online brokerage, Qtrade Direct Investing®, empowers self-directed investors, and our fully automated investing service, Qtrade Guided Portfolios®, serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms. We have offices in Toronto, Vancouver, Montreal, and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals, Co-operators/CUMIS, and Desjardins. We’re proud to power businesses that empower investors.

A career with Aviso means being part of a group of talented, energetic professionals who live their values every day, and belonging to an organization dedicated to your success and career development. If you’re looking for interesting and challenging work, at a company committed to its people, apply to join our team.

Salary

This position is posted with an expected salary range of $85,000 - $90,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.