Job Opportunities API

Aviso: 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 to fill an opening for a Trade Compliance Officer to join our Compliance team. Reporting to the Manager of Trade Compliance, the Compliance Officer, Trade Compliance is responsible for day-to-day trade compliance activities of for all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This includes daily and monthly trade surveillance reviews and quarterly trend analysis to detect manipulative and deceptive trading activities, in accordance with regulatory requirements established by Canadian Investment Regulatory Organization (CIRO), and the provincial Securities Commissions, as well as AFI internal policies and procedures. This role will be a subject matter expert on the Universal Marketplace Integrity Rules (“UMIR”). 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: Daily and Monthly review of compliance reports for Manipulative and Deceptive trading activities and/or other securities regulations violations (i.e. high close, spoofing, wash trades, insider trading trade markers) PRO account trading reviews, amend and/or enhance policies and procedures and update process documents New Account Approvals for online brokerage and institutional accounts, reviewing credit reports, assessing account appropriateness (if applicable), and validating complete documentation Daily and Monthly review of supervision reports for CIRO Rules, and prepare/review and submit regulatory reports (i.e. PRO account activity, $1500 Reviews, MTRS reporting, Short report, OTCBB reporting) Communicating with advisors/introducing brokers regarding any trade compliance concerns and tracking issues to ensure resolution Provide day to day trade compliance education support to all business lines via the Trade Compliance email box and/or by preparing Compliance Newsletter content Requirements Your experience and skills: Post secondary degree in related field 3 - 5 years industry work experience, minimum 4 years in a specialized role Knowledge and understanding of the mutual funds industry and the related legislative and regulatory framework Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as an CIRO Supervisor are required. Completion of the Options Supervisor Course and the Canadian Commodities Supervisor Course are preferred CIRO - Registration as a supervisor as equity or options or willing to take