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Aviso Wealth
Compliance Officer for Trade RegulationAviso Wealth • Winnipeg, Canada
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Compliance Officer for Trade Regulation

Compliance Officer for Trade Regulation

Aviso Wealth • Winnipeg, Canada
4 days ago
Job type
  • Full-time
Job description
Step into a vital trade compliance role at Aviso Financial Inc. This position involves critical surveillance and regulatory reporting to ensure our operations are compliant and efficient.

In your capacity as Trade Compliance Officer, you'll report to the Director of Trade Compliance. Your primary function will involve analyzing trading patterns and implementing robust compliance measures. Establishing trust through effective communications with advisors and refining internal policies will also be key aspects of your job.

Key Responsibilities: • Review compliance reports for manipulative trading violations • Assess and approve new brokerage and institutional accounts • Review supervision reports in line with CIRO regulations • Communicate compliance issues and resolutions to stakeholders • Create and deliver educational support on trade compliance

Requirements: • Post-secondary degree with a minimum of 4 years in the industry • Successful completion of CIRO Supervisor and necessary courses • Detail-oriented analytical skills with a disciplined work ethic • Proficiency in Microsoft Outlook, Excel, and Word • Bilingual communication skills in French are an asset

Join Aviso and leverage your expertise to enhance our trade compliance landscape. #J-18808-Ljbffr
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Compliance Officer for Trade Regulation • Winnipeg, Canada

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