Air Compliance Manager developing safety programs and conducting risk assessments at a global logistics leader. Ensuring compliance with regulations and maintaining staff certifications.
About the role
- Compliance Officer responsible for day-to-day compliance activities for Aviso's Correspondent Partners business line. Monitoring trading activities and managing compliance projects.
Responsibilities
- New Account and material change approvals for Portfolio Manager firms and Institutional Accounts
- Monitor for Manipulative and Deceptive trading activities and other securities regulations violations, including but not limited to Universal Market Integrity Rules (UMIR)
- Lead or assist with compliance projects and initiatives
- Assist in the preparation of the business/new accounts/compliance monthly meeting
- Reviews, annual certifications, and compliance manual updates
- Implement, amend and enhance policies and procedures
- Liaise with Introducing Broker and Portfolio Manager firms on compliance matters and issues, working towards resolutions
- Provide day-to-day compliance support to the business line in onboarding new or potential clients offering solutions in a collaborative manner
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
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