Trade Compliance Officer at Aviso

Advance your career with Aviso as a Trade Compliance Officer, focusing on trade surveillance and adherence to CIRO regulations. This role will enhance your analytical skills while ensuring compliance across business lines.
As a vital member of the Compliance team, you will report to the Director of Trade Compliance. Your responsibilities include executing daily and monthly reviews to spot manipulative trading practices and refine policies for better reporting and education. Bring your expertise to foster innovation in trade compliance.
Key Responsibilities:
• Review compliance reports for regulatory violations
• Conduct PRO account trading reviews diligently
• Approve new brokerage and institutional accounts
• Prepare and submit regulatory compliance reports
• Communicate trade compliance concerns to advisors
Requirements:
• Postsecondary degree in relevant field
• 3–5 years of industry experience, 4+ years in compliance
• Knowledgeable in mutual funds ...