Conduct CIRO branch examinations as a Compliance Officer with Aviso Wealth, combining regulatory knowledge, investigation, and detailed reporting.
This 12-month Compliance Officer opening supports Aviso’s Branch Examination team. Reporting to the Senior Manager, Branch Examination, you will examine dealer business locations and support regulatory compliance. The hybrid position requires supervisor registration, office work, and onsite partner-branch visits.
Key Responsibilities:
Conduct onsite and remote CIRO branch examinations
Prepare audit materials and schedule regulatory examinations
Communicate results and follow up on action items
Prepare reports and recommend corrective actions
Improve the Branch Review Program as regulations change
Requirements:
Three to five years’ financial services compliance supervision experience
Finance or securities university degree preferred
CIRO licensing eligibility and requisite courses completed
Knowledge of securities industry rules and regulations
Analytical, investigative, organizational, and communication skills
Apply your compliance supervision, examination, and reporting expertise to support Aviso Wealth’s dealer partners across Canada.