Aviso Wealth:
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 Director, Chief Compliance Officer, NEI to join our Asset Management team.
Reporting to the VP, Chief Compliance Officer, Aviso the Director, Chief Compliance Officer, NEI is responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA. Additionally, the Director, CCO, NEI must ensure compliance with all applicable laws, regulatory requirements, as well as internal policies and procedures of NEI.
The Director, CCO, NEI will establish standards and implement procedures to ensure that the compliance programs throughout NEI are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations.
Who you are:
- 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
- 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:
- Provides assurance to Senior Leaders and the Board of Directors that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that NEI is complying with all applicable regulatory and legal requirements
- Developing, implementing, and maintaining a comprehensive compliance program to achieve compliance with OSC and CSA rules and regulations that reflects NEI’s unique characteristics
- Supporting business activities in existing products and services and new opportunities in areas of growth
- Establish and maintain written policies and procedures designed to achieve adherence with fiduciary, investment advisory, and securities regulations and internal compliance policies
- Respond to regulatory inquiries, lead regulatory audit processes and respond to written regulatory requests
- Build team and individual capabilities by providing development opportunities such as special projects, and training
- Serve as a resource to partners in the business, Risk, Technology, Finance, Legal and Human Resources teams
Requirements
Your experience and skills:
- Bachelor's degree in business, finance, or other applicable disciplines
- Minimum 10+ years' industry compliance experience working with an IFM regulated by the CSA
- Requisite courses, and experience to qualify as a CCO under NI-31-103, section 3.14
- Extensive experience with reviewing securities regulations (and other regulatory publications) and summarizing that into clear and concise plain language guidance for impacted stakeholders
- Extensive experience in drafting policies & procedures within the financial services industry
- Project management skills are required, as this role must ensure that various stakeholders (e.g. subject matter experts) within other departments complete the required impact assessment and other downstream work needed to address regulatory changes and/or policy updates within stated timelines
- Strong organization and records management skills are required
- Fluent communication skills in English are required and bilingual skills in French are an asset
- Experience with dealing with the Securities Exchange Commission (SEC) 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 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
Equal Employment Opportunity
Aviso Wealth welcomes and encourages applications from all qualified individuals including persons with disabilities. If you require an accommodation, we will work with you to meet your needs in all stages of the hiring process.
We thank all applicants for their interest, however, only those selected for further consideration will be contacted.
No recruiters or agencies, please.
Company Overview:
Aviso is a leading wealth management and investment services provider for the Canadian financial industry, with over $130 billion in total assets under administration and management, and over 1,000 employees. We’re building a comprehensive, technology-enabled, client-centric wealth services ecosystem. Our clients include our partners, advisors, and investors. We’re a trusted partner for nearly all credit unions across Canada, in addition to a wide range of portfolio managers, investment dealers, insurance and trust companies, and introducing brokers. Our partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving, highly competitive industry. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager, NEI Investments, specializes in investing responsibly. Our online brokerage, Qtrade Direct Investing®, empowers self-directed investors, and our fully automated investing service, Qtrade Guided Portfolios®, serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms. We have offices in Toronto, Vancouver, Montreal, and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals, Co-operators/CUMIS, and Desjardins. We’re proud to power businesses that empower investors.
A career with Aviso means being part of a group of talented, energetic professionals who live their values every day, and belonging to an organization dedicated to your success and career development. If you’re looking for interesting and challenging work, at a company committed to its people, apply to join our team.
Salary
This position is posted with an expected salary range of $135,000 - $158,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.
