Director, Correspondent Compliance
Aviso Wealth, Canada
Job Description
Aviso Wealth:
A career with Aviso Wealth means being part of an organization dedicated to your success and career development. It means belonging to a group of talented, energetic professionals who live their values every day. Our amazing people and dynamic culture set Aviso Wealth apart. If you’re looking for interesting and challenging work, at a company committed to its people, find out more about what Aviso Wealth has to offer.
The Opportunity:
We’re looking for a Director, Correspondent Compliance to join our Compliance team.
Reporting to the VP, Corporate Compliance the Director, Correspondent Compliance is responsible for providing compliance direction and guidance on correspondent and institutional new business opportunities, as well as managing and delivering exceptional ongoing compliance supervision and customer service to correspondent and institutional partners.
Who you are:
- You take initiative, seeking out and owning opportunities to improve yourself, your team, and our business
- You’re comfortable in a fast-paced environment, maintaining a keen attention to detail even when under pressure
- You thrive in a collaborative environment, sharing your knowledge with your colleagues, and celebrating success as a team
- You’re a life-long learner, staying current on market events, industry news, and innovative trends and technologies
- You believe in sustainable financial strength, and you’re committed to long-term wealth solutions
- You consider the impact of your actions on your team members, our partners, our clients, and the places where we live and work
What your day looks like:
- Provide compliance subject matter expertise through requirements, guidance and direction for new institutional amp; correspondent business opportunities, including hands on implementation of the necessary tactical activities to support business line growth
- Develop, manage and execute institutional supervision for external Portfolio Manager partners, internal institutional Portfolio Managers, and IB partners (where applicable), including (i) new account approvals, (ii) a supervision regime for internal institutional managed accounts, and (iii) prepare and deliver communications and training to all stakeholders
- Direct the delivery of compliance requirements for onboarding new Introducing Brokers (coordinating with Director, AML and Manager, Supervision for delivery on their respective areas)
- Lead the required work to achieve customer service excellence, including (i) tracking account approval metrics; (ii) examine and refine compliance support for ongoing IB/PM relationship management, (iii) handling escalated matters, and (iv) prepare and deliver value-add educational communications to partners.
- Lead a team (direct people management), execute on deliverables to support Aviso Wealth strategic objectives within our risk appetite, and support Service Operations amp; Compliance integration
- Participate in relevant compliance amp; operations industry groups, maintain an in-depth knowledge of requirements and challenges, to ensure understanding of the regulatory/industry developments that impact our institutional amp; correspondent business
Requirements
Your experience and skills:
7-10 years progressive work experience, at least 5 in a related role as follows:
- Extensive experience working in the securities industry (IIROC or CSA), preferably in a Compliance or risk management role.
- Extensive experience with securities regulations (and other regulatory publications) or practices, specifically with an institutional or correspondent focus
- Team management and project management skills are required, as this role must ensure that various stakeholders (e.g. subject matter experts) within other SOC units and departments complete the required work needed to effect project deliverables.
- Strong organization and communication skills are required.
- Ability to immediately register as IIROC Supervisor, desire for continuous learning, and willingness to registration as Options Supervisor and Futures Supervisor in near future an asset
- Fluent communication skills in English are required and bilingual skills in French are an asset
Benefits
At Aviso, you’ll find a dynamic, entrepreneurial culture that rewards innovation and celebrates success. We offer a competitive compensation package, career enrichment, and regular social events to foster teamwork. 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.
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