Job Description
Location
Toronto, ON M5C 2W7•Hybrid work
Benefits
Pulled from the full job description
Full job description
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 www.aviso.ca.
The Opportunity:
We’re looking for a Branch Compliance Manager to join our Compliance team for 18 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.
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 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
Leadership – You lead your team and provide regular direction, guidance, coaching, and motivation, all while striving for peak performance. You assist them in overcoming obstacles through additional resources, removal of roadblocks, and providing the level of support required for their success. You delegate and deliver feedback based on the in-depth understanding of your individual team members
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 the 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 Univeris or 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 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 $83,000 - $95,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.
Toronto, ON M5C 2W7•Hybrid work
Benefits
Pulled from the full job description
Full job description
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 www.aviso.ca.
The Opportunity:
We’re looking for a Branch Compliance Manager to join our Compliance team for 18 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.
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 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
Leadership – You lead your team and provide regular direction, guidance, coaching, and motivation, all while striving for peak performance. You assist them in overcoming obstacles through additional resources, removal of roadblocks, and providing the level of support required for their success. You delegate and deliver feedback based on the in-depth understanding of your individual team members
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 the 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 Univeris or 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 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 $83,000 - $95,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.
💡 Quick Summary
Seeking a career-building opportunity? The Branch Compliance Manager, Temporary position is now open for candidates interested in the MIS Executive sector. This role in Toronto offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in MIS Executive is a plus.
