Aviso is looking for a Compliance Officer to conduct onsite and/or remote branch and sub-branch examinations of CIRO dealer business locations. This hybrid role requires supervisor registration and is part of our commitment to maintaining rigorous regulatory standards.
What You'll Do
- 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.
- 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.
What We're Looking For
- University degree related to finance and securities preferred.
- Successful completion of requisite courses (e.g., Canadian Securities Course) with an ability to be licensed with CIRO.
- 3 to 5 years of compliance supervision experience within the financial services industry.
- Sound knowledge of the rules and regulations governing the securities industry.
- Proficient in Microsoft Outlook, Excel and Word.
- 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 with a strong commitment to customer service.
- This position must have the ability to travel to branch locations up to 25%. Travel may increase in the future.
- Fluent communication skills in English are required.
Nice to Have
- Experience as a Branch Compliance Officer, Branch Manager, Branch Auditor, Compliance Officer, or Financial Advisor in a mutual fund dealer or investment dealer firm.
- Experience operating in a Credit Union system and familiarity with Dataphile.
- Bilingual skills in French.
Technical Stack
- Microsoft Outlook
- Microsoft Excel
- Microsoft Word
- Dataphile
Team & Environment
You will join the Branch Examination team and report to the Senior Manager, Branch Examination.
Benefits & Compensation
- 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.
- Salary: $83,000-$92,000 CAD annually.
Work Mode
This is a hybrid position open to candidates in Toronto, Vancouver, Montreal, or Winnipeg.
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.
