Branch Compliance Manager, Temporary - Toronto, Canada - Aviso Wealth

Aviso Wealth

Verified Company

Toronto, Canada

1 week ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Aviso Wealth:

The Opportunity:

We're looking for a Branch Compliance Manager to join our Compliance team for 18 months.

This can be a remote role, however for those who would like to come into the office at at 151 Yonge Street, Toronto, ON.

The Branch Compliance Manager will focus on providing Daily Tier 1 supervision of advisors located across Canada. The successful applicant will work closely with head office compliance staff to manage Aviso's overall compliance functions.

Who you are:

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Service

You consider both internal and external stakeholders and demonstrate intent of understanding and putting the clients' needs first. You advocate service excellence and work to deliver solutions that meet the needs. You proactively develop strategic partnerships that allow Aviso Wealth to become a trusted advisor and partner

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Execution

You are committed to achieving your goals and to succeed. This includes focusing on "getting things done", as well as recognizing and taking advantage of opportunities as they arise. You are consistently looking for ways to improve your personal best and see value in continuous improvement. You take accountability for your actions and learn from mistakes

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Collaboration

You work collaboratively with others with the common goal of driving positive results. Making meaningful contributions to your team to achieve organizational goals is a priority. You proactively encourage collaboration, build trust and inclusion, and work to establish effective relationships both inside and outside of the organization

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Leadership

You lead your team and provide regular direction, guidance, coaching, and motivation, all while striving for peak performance. You assist them in overcoming obstacles through additional resources, removal of roadblocks, and providing the level of support required for their success. You delegate and deliver feedback based on the indepth understanding of your individual team members

What your day looks like:

Perform approval of new accounts and material changes to existing accounts
Perform Tier 1 daily and monthly reviews of advisor trading activity
Deal with compliance issues as identified, through to resolution and/or appropriate escalation
Key daytoday contact for advisors regarding compliance related matters
Follow up with advisors on missing documentation
Act as backup during absence of other Branch Compliance Managers and compliance staff
Support advisors with ongoing compliance education and training
Assist with compliance projects and initiatives as needed
Conduct branch visits at partner locations as required

Requirements:

Your experience and skills:

5+ years of experience in the financial services industry
Ability to be registered as a Branch Manager with the IIROC and MFDA
Experience as a Branch Manager, Compliance Officer or Advisor in an IIROC/MFDA firm
Strong knowledge of industry rules and regulations
Strong verbal and written communication skills
Strong mediation and influencing skills
Strong organizational and time management skills
Strong analytical skills with an attention to detail
Proficient in Microsoft Outlook, Word and Excel
Experience with Univeris or Dataphile an asset
High level of product knowledge
Fluent communication skills in English are required and bilingual skills in French are an asset

Benefits

Why Aviso Wealth?
At Aviso Wealth, you will find a dynamic 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 topup 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

Equal Employment Opportunity
We thank all applicants for their interest, however, only those selected for further consideration will be contacted.

No recruiters or agencies, please.

Company Overview:

**Salary