Aviso Wealth:

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 Compliance Officer to join our Branch Examination team for 12 months.

Reporting to the Senior Manager, Branch Examination, the Compliance Officer is responsible for conducting onsite and/or remote branch and sub-branch examinations of CIRO dealer business locations. As this is a hybrid role, work will be performed from an Aviso office and also onsite at partner branches. The Compliance Officer role is a position which requires supervisor registration.

As one aviso:

- We Care– Youdo the right thing forclients,partnersand colleagues. Youbuild trusted relationships,championservice excellence, andcontribute to a culture where people feel valued and supported
- We Dare–You challenge the status quo with bold ideasand fresh perspectives. Youembrace change, seek opportunities toinnovateand are comfortable exploring new ways of working
- We Share– Youcollaborate openlyand build meaningful relationships. Youseek outdiverse perspectives, share yourknowledgeand work together to helpcolleagues,clientsand partners succeed




- We Deliver– Youtake ownership of your work,honouryourcommitmentsand focus on delivering meaningful results.You hold yourself accountable and continuously look for ways to improve

What your day looks like:

- Conduct onsite and/or remote examinations of CIRO (both mutual funds and investment), branch and sub-branch locations of our dealer business
- Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures
- Communicate audit results and follow up on action items
- Update and maintain the audit schedule and prepare detailed audit reports, identifying issues, recommending corrective actions, and following up with our financial institution partners in closing outstanding items in accordance with existing policy and procedures
- Support the maintenance and improvement of the Branch Review Program in accordance with updated regulatory changes and dealer policies and procedures
- Perform various internal testing and examinations at head office as required and perform other duties and special projects

Your experience and skills:

- University Degree related to finance and securities preferred
- Successful completion of requisite courses (ie: Canadian Securities Course) with an ability to be licensed with CIRO
- 3 to 5 years of compliance supervision experience within the financial services industry
- Experience as a Branch Compliance Officer,



Branch Manager, Branch Auditor, Compliance Officer, or Financial Advisor in a mutual fund dealer or investment dealer firm is preferred
- Sound knowledge of the rules and regulations governing the securities industry
- Proficient in Microsoft Outlook, Excel and Word
- Experience operating in a Credit Union system and familiarity with Dataphile is an asset
- Excellent analytical and investigative skills with strong attention to detail
- Excellent interpersonal skills with the ability to present information to different audiences
- Excellent organizational and time management skills
- Disciplined work ethic and committed to producing excellence in work output
- Ability to work with minimum supervision with a strong commitment to customer service
- This position must have the ability to travel to branch locations up to 25%. Travel may increase in the future.
- 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 agile 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

Your Information

By sub

📌 Compliance Officer, Temporary (Vancouver)
🏢 Aviso Wealth
📍 Vancouver