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.The OpportunityWe’re looking for a Compliance Officer to join our Compliance team.Reporting to the Director Correspondent & Institutional Compliance, the Compliance Officer is responsible for primarily day‑to‑day compliance activities for the Aviso Correspondent Partners business line of Aviso Financial Inc. and will occasionally assist with the other business lines. The Compliance Officer will be registered as a Designated Supervisor with the Canadian Investment Regulatory Organization (CIRO).Who you areService – 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.What your day looks likeNew Account and material change approvals for Portfolio Manager firms and Institutional Accounts.Monitor for manipulative and deceptive trading activities and other securities regulations violations, including but not limited to Universal Market Integrity Rules (UMIR).Lead or assist with compliance projects and initiatives.Assist in the preparation of the business/new accounts/compliance monthly meeting.Review annual certifications and compliance manual updates.Implement, amend and enhance policies and procedures.Liaise with Introducing Broker and Portfolio Manager firms on compliance matters and issues, working towards resolutions.Provide day‑to‑day compliance support to the business line in onboarding new or potential clients offering solutions in a collaborative manner.Your experience and skillsPost‑secondary degree in a related field.3–5 years’ work experience in an IIROC environment.Sound knowledge of the rules and regulations governing the securities industry (IIROC, UMIR, CSA,



etc.).Investment Dealer Supervisor course and minimum two years of relevant experience working for an investment dealer required for registration as an IIROC Designated Supervisor.Options Supervisor course and both the Derivatives Fundamentals Course and the Options Licensing Course, or Derivatives Fundamentals and Options Licensing Course (all courses to be completed within 3 months).Excellent analytical and investigative skills with solid attention to detail.Excellent interpersonal skills and effective presentation skills.Ability to work with minimum supervision with a strong commitment to customer service.Disciplined work ethic and commitment to producing excellence in work output.Proficient in Microsoft Outlook, Excel, and Word.Fluent communication skills in English required and bilingual skills in French are an asset.BenefitsCompetitive compensation package that rewards and recognizes individual contributions.Excellent health, dental and insurance benefits to meet the diverse needs of employees.Generous vacation time, fitness benefit, parental leave top‑up options.Matching contributions to our retirement program.Commitment to the continuous improvement of staff through learning & development and an education assistance program.Regular social events to foster teamwork.Equal Employment OpportunityAviso 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.SalaryThis position is posted with an expected salary range of $80,000 – $90,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.#J-18808-Ljbffr

📌 Compliance Officer, Correspondent And Institutional - C$80,000 - C$90,000 A Year (Winnipeg)
🏢 Aviso Financial
📍 Winnipeg