Branch Compliance Manager, Temporary Jobs in Toronto, Canada at Aviso Wealth
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 Branch Compliance Manager to join our Compliance team for 9 months.
The Branch Compliance Manager will focus on providing Daily Tier 1 supervision of advisors located across Canada. The successful applicant will work closely with head office compliance staff to manage Aviso’s overall compliance functions.
As one
aviso:
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:
Perform approval of new accounts and material changes to existing accounts
Perform Tier 1 daily and monthly reviews of advisor trading activity
Deal with compliance issues as identified, through to resolution and/or appropriate escalation
Key day-to-day contact for advisors regarding compliance related matters
Follow up with advisors on missing documentation
Act as back-up during absence of other Branch Compliance Managers and compliance staff
Support advisors with ongoing compliance education and training
Assist with compliance projects and initiatives as needed
Conduct branch visits at partner locations as required
Requirements
Your experience and skills:
5+ years of experience in the financial services industry
Ability to be registered as a Branch Manager with CIRO (formerly IIROC and MFDA)
Experience as a Branch Manager, Compliance Officer or Advisor in an IIROC/MFDA firm
Strong knowledge of industry rules and regulations
Strong verbal and written communication skills
Strong mediation and influencing skills
Strong organizational and time management skills
Strong analytical skills with an attention to detail
Proficient in Microsoft Outlook, Word and Excel
Experience with Dataphile an asset
High level of product knowledge
Fluent communication skills in English are required and bilingual skills in French are an asset
Benefits
Why Aviso Wealth?
At Aviso Wealth, 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…
Title: Branch Compliance Manager, Temporary
Company: Aviso Wealth
Location: Toronto, Canada
Category:
