Regulatory Compliance Lead managing documentation and compliance operations across North America and LATAM. Leading a team to ensure regulatory standards and documentation accuracy.
About the role
- Trade Compliance Officer for Aviso Financial, responsible for day-to-day compliance tasks. Conducting trade reviews and ensuring adherence to regulatory requirements in a financial organization.
Responsibilities
- 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 CRIO 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
Requirements
- Post secondary degree in related field
- 3 - 5 years industry work experience, minimum 4 years in a specialized role
- Knowledge and understanding of the mutual funds industry and the related legislative and regulatory framework
- Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as an 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 or options or willing to take it for futures
- Curious mindset and desire to find solutions to improve business functions and process efficiencies
- Excellent Analytical/investigative skills and 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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