Aviso Wealth:We are dedicated to improving the financial well‑being of Canadians through a leading wealth management organization. We value leadership, innovation, partnership, responsibility, and community. Our people and agile “oneaviso” culture set us apart.Job OverviewWe’re looking for a Compliance Officer to join our Compliance team. The Compliance Officer reports to the Director Correspondent & Institutional Compliance and is primarily responsible for day‑to‑day compliance activities for the Aviso Correspondent Partners business line of Aviso Financial Inc., while occasionally assisting other business lines. The role requires registration as a Designated Supervisor with the Canadian Investment Regulatory Organization (CIRO).ResponsibilitiesNew account and material change approvals for portfolio manager firms and institutional accounts.Monitor for manipulative and deceptive trading activities and other securities regulation violations, including but not limited to Universal Market Integrity Rules (UMIR).Lead or assist with compliance projects and initiatives.Assist in the preparation of business/new account/compliance monthly meetings.Conduct reviews, annual certifications, and compliance manual updates.Implement, amend, and enhance policies and procedures.Liaise with introducing brokers and portfolio manager firms on compliance matters and issues, working toward resolutions.Provide day‑to‑day compliance support to the business line in onboarding new or potential clients, offering solutions in a collaborative manner.QualificationsPost‑secondary degree in a related field.3–5 years of 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 either the Derivatives Fundamentals Course and the Options Licensing Course, or the Derivatives Fundamentals and Options Licensing Course (all courses to be completed within 3 months).Excellent analytical and investigative skills with strong attention to detail.Excellent interpersonal and presentation skills.Ability to work with minimum supervision and a strong commitment to customer service.Disciplined work ethic and commitment to producing excellence in work output.Proficiency with Microsoft Outlook, Excel, and Word.Fluent communication skills in English required; 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 the retirement program.Commitment to 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.SalaryExpected salary range: $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 Wealth
📍 Winnipeg