Opportunity Description
Shape the future of compliance at Aviso Wealth as a Branch Compliance Manager for 9 months. Oversee advisor operations and ensure compliance with industry standards throughout Canada.
Aviso Wealth is looking to appoint a Branch Compliance Manager to support its compliance team. This role emphasizes the daily supervision of advisors, managing compliance issues, and providing training on compliance matters. You'll collaborate closely with compliance staff to enhance overall compliance strategies.
Key Responsibilities:
• Approve account setups and modifications
• Conduct regular assessments of advisor trading
• Manage resolution of compliance-related issues
• Act as the primary compliance contact for advisors
• Conduct compliance training and branch visits
Requirements:
• Minimum 5 years in the financial services industry
• Must be CIRO registered as a Branch Manager
• Previous experience in an IIROC/MFDA firm
• In-depth knowledge of compliance regulati...
Aviso Wealth is looking to appoint a Branch Compliance Manager to support its compliance team. This role emphasizes the daily supervision of advisors, managing compliance issues, and providing training on compliance matters. You'll collaborate closely with compliance staff to enhance overall compliance strategies.
Key Responsibilities:
• Approve account setups and modifications
• Conduct regular assessments of advisor trading
• Manage resolution of compliance-related issues
• Act as the primary compliance contact for advisors
• Conduct compliance training and branch visits
Requirements:
• Minimum 5 years in the financial services industry
• Must be CIRO registered as a Branch Manager
• Previous experience in an IIROC/MFDA firm
• In-depth knowledge of compliance regulati...
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