Manager, Trade Compliance job opportunity at Aviso Wealth Management.

Home Jobs In Canada Tag: Trade Compliance Manager, Trade Compliance position at Aviso Wealth Management


Date2025-12-23T21:00:09.899Z bot
Aviso Wealth Management Manager, Trade Compliance
Experience: 7-years
Pattern: Full-time
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Trade Compliance

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loacation Toronto, Canada
loacation Toronto....Canada

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 Manager, Trade Compliance to join our Compliance team. Reporting to the Director of Trade Compliance the Manager, Trade Compliance is responsible for maintaining and developing an effective trade compliance program for all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This includes leading the supervision of day to day activities of Trade Compliance though delegation of tasks, providing trade compliance guidance, advise and support to Trade Compliance Officers and other business units, and monitoring performance and the effectiveness of trade compliance processes, in accordance with regulatory requirements established by the Canadian Investment Regulatory Organization, 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”) and have a team of Trade Compliance Officers reporting to them. In addition, the role plays a key part in monitoring market conduct, regulatory reporting and trade surveillance to fulfill US SEC reporting obligations under SEC Form 13F and 13H. 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 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 in-depth understanding of your individual team members. What your day looks like: Quarterly Trade Supervision Review (QTR), managing completion of annual ETR testing, and collecting annual certification/attestations; escalate any deficiencies or concerns identified and assist Director Trade Compliance to implement, amend and/or enhance policies and procedures and update process documents Collaborating with the Capital Markets team and other divisions to solution trade compliance requirements Assist in preparing Best Execution Committee materials Support Trade Compliance Officers with escalations and subject matter expertise Communicating with 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 Preparing monthly Compliance Newsletter content Manage the firms obligations under SEC Form 13F and 13H including trade data gathering, validation, and filing. Post secondary degree in related field combined with 5 - 7 years industry experience in trade compliance, market surveillance or regulatory oversight preferably within an investment dealer or wealth management firm 2 to 4 years of people management experience Good knowledge of CIRO rules, CSA instruments, OSC/AMF requirements and applicable securities laws. Experience with trading platforms, market surveillance systems and data analysis tools (e.g. Position Watch, Dataphile, Nasdaq NTS) Successful completion of the IDSC and the requisite courses for registration as a CIRO Supervisor are required. Completion of the Options Supervisor Course and the Canadian Commodities Supervisor Course are preferred CIRO - Registration as a supervisor as equity and options or willing to take it for futures Excellent Analytical/investigative skills and attention to detail 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

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