Compliance Officer, Correspondent and Institutional

Compliance Officer job description: responsibilities include day-to-day compliance activities for the Aviso Correspondent Partners business line, monitoring for manipulative and deceptive trading activities, leading or assisting with compliance projects, and providing day-to-day compliance support to the business line. The Compliance Officer will be registered as a Designated Supervisor with the Canadian Investment Regulatory Organization (CIRO).

Requirements

• Post-secondary degree in a related field
• 3 - 5 years’ 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, both the Derivatives Fundamentals Course and the Options Licensing Course, or 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 skills and effective presentation skills
• Ability to work with minimum supervision with a strong commitment to customer service
• Disciplined work ethic and committed to producing excellence in work output
• Proficient in Microsoft Outlook, Excel, and Word
• Fluent communication skills in English are required and bilingual skills in French are an asset

Benefits

• 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