Elevate your career as a Tier 1 Compliance Specialist at Aviso Wealth. Engage in mutual fund supervision, risk mitigation, and compliance education within our dynamic team.

We are looking for a dedicated Compliance Specialist (Tier 1) to support mutual fund operations at Tru Cooperative Bank and Aviso Wealth. This role entails overseeing daily and monthly advisor compliance, ensuring adherence to industry regulations while fostering a culture of continuous improvement. You'll engage with registered representatives and manage compliance queries to promote operational excellence.

Key Responsibilities:



• Conduct daily and monthly Tier 1 reviews of advisor activities • Approve account documents within specified timelines • Communicate regulatory updates to registered advisors • Handle compliance issues and track resolutions accurately • Support compliance education with ongoing training initiatives

Requirements: • 3-5 years experience in financial services • Diploma in a related discipline • Eligibility for CIRO MFD Branch Manager registration • Robust product and regulatory knowledge • Proven organizational and communication skills

Drive compliance success and regulatory adherence in your role as a Compliance Specialist at Aviso Wealth. #J-18808-Ljbffr

📌 Tier 1 Compliance Specialist at Aviso Wealth (Winnipeg)
🏢 Tru Cooperative Bank
📍 Winnipeg