HiringCafe
Posted 2d ago

Trade Compliance Officer

@ Aviso Wealth
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Vancouver, British Columbia, Canada
$85k-$90k/yrHybridFull Time
Responsibilities:Review compliance, Approve accounts, Prepare reports
Requirements Summary:Post-secondary degree; 3-5 years industry experience; knowledge of mutual funds regulation; CIRO supervisor courses; preferred options/commodities supervision courses; fluent English; MS Office proficiency.
Technical Tools Mentioned:Microsoft Outlook, Microsoft Excel, Microsoft Word
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Job Description

Aviso:

At Aviso, we are dedicated to improving the financial well-being of Canadians. As a leading wealth management organization, we are committed to leadership, innovation, partnership, responsibility, and community. Working with talented and energetic professionals who exemplify our values every day, you will quickly notice that our people and dynamic ‘oneaviso’ culture sets us apart. If you are looking for interesting and challenging work, at a company committed to its people, find out more about what Aviso has to offer at www.aviso.ca.

The Opportunity:

We’re looking for a Trade Compliance Officer to join our Compliance team.

Reporting to the Director of Trade Compliance, the Compliance Officer, Trade Compliance is responsible for day-to-day trade compliance activities of for all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This includes daily and monthly trade surveillance reviews and quarterly trend analysis to detect manipulative and deceptive trading activities, in accordance with regulatory requirements established by Canadian Investment Regulatory Organization (CIRO), and the provincial Securities Commissions, as well as AFI internal policies and procedures. This role will be a subject matter expert on the Universal Marketplace Integrity Rules (“UMIR”).

Who you are:

  • Service – You put your clients’ needs first. You advocate service excellence, and work to deliver client-centric solutions, and proactively develop strategic partnerships that allow Aviso Wealth to become a trusted advisor and partner
  • 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
  • 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

What your day looks like:

  • Daily and Monthly review of compliance reports for Manipulative and Deceptive trading activities and/or other securities regulations violations (i.e. high close, spoofing, wash trades, insider trading trade markers)
  • PRO account trading reviews, amend and/or enhance policies and procedures and update process documents
  • New Account Approvals for online brokerage and institutional accounts, reviewing credit reports, assessing account appropriateness (if applicable), and validating complete documentation
  • Daily and Monthly review of supervision reports for CIRO Rules, and prepare/review and submit regulatory reports (i.e. PRO account activity, $1500 Reviews, MTRS reporting, Short report, OTCBB reporting)
  • Communicating with advisors/introducing brokers regarding any trade compliance concerns and tracking issues to ensure resolution
  • Provide day to day trade compliance education support to all business lines via the Trade Compliance email box and/or by preparing Compliance Newsletter content