Conduct CIRO branch examinations as a Compliance Officer with Aviso Wealth, combining regulatory knowledge, investigation, and detailed reporting.
This 12-month Compliance Officer opening supports Aviso's Branch Examination team. Reporting to the Senior Manager, Branch Examination, you will examine dealer business locations and support regulatory compliance. The hybrid position requires supervisor registration, office work, and onsite partner-branch visits.
Key Responsibilities:
- Conduct onsite and remote CIRO branch examinations
- Prepare audit materials and schedule regulatory examinations
- Communicate results and follow up on action items
- Prepare reports and recommend corrective actions
- Improve the Branch Review Program as regulations change
Requirements:
- Three to five years' financial services compliance supervision experience
- Finance or securities university degree preferred
- CIRO licensing eligibility and requisite courses completed
- Knowledge of securities industry rules and regulations
- Analytical, investigative, organizational, and communication skills
Apply your compliance supervision, examination, and reporting expertise to support Aviso Wealth's dealer partners across Canada.
Compliance Officer Branch Examinations in Vancouver employer: Aviso Wealth Inc.
Aviso Wealth is an exceptional employer that fosters a collaborative and innovative work culture, where employees are empowered to shape investment strategies and drive impactful changes in the managed account platform. Located in a vibrant city, we offer competitive benefits, continuous professional development opportunities, and a commitment to employee growth, making it a rewarding place for those passionate about finance and investment management.
