Branch Compliance Manager, Temporary

At Aviso Wealth, 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 Wealth 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.

This can be a remote role, however for those who would like to come into the office we are at 1111 West Georgia St, Vancouver, BC.

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 consider both internal and external stakeholders and demonstrate intent of understanding and putting the clients’ needs first. You advocate service excellence and work to deliver solutions that meet the needs. You 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
• 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

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

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

Equal Employment Opportunity

Aviso Wealth 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 Wealth powers businesses that empower investors.

We are a national, integrated financial services company, with approximately $110 billion in assets under administration and management.

Aviso Wealth is owned by Credit Union Centrals, Co-operators / CUMIS and Desjardins. Our mutual funds dealer, securities brokerage, and insurance dealer support thousands of financial advisors at credit unions across Canada.

Our award-winning online brokerage, Qtrade Direct Investing, and our digital advice platform, Qtrade Guided Portfolios, give Canadians flexible choices for building their wealth.

Our asset manager, NEI Investments, offers a comprehensive lineup of responsible investment funds and portfolios, which are available through a national network of advisors. Aviso Wealth also provides custodial services and introducing broker services to independent financial organizations, including banks, trust companies, insurance companies, investment dealers, portfolio managers and financial planning firms.

We have operations in Toronto, Vancouver, and Montreal with a regional office in Winnipeg. More information about Aviso Wealth is available at www.aviso.ca.