Manager, Tier 1 Compliance
Aviso Wealth, Canada

Aviso Wealth:

At Aviso Wealth, we are dedicated to improving the financial well-being of Canadians. As a leading wealth management organization, we are committed to service, partnership, and innovation. Working with talented and energetic professionals who exemplify our values every day, you will quickly notice that our people and dynamic culture sets Aviso Wealth apart. If you are looking for interesting and challenging work, at a company committed to its people, find out more about what Aviso Wealth has to offer at www.aviso.ca.

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:

• Ongoing performance management of Aviso’s BCMs to ensure they are meeting the expectations of the role. This includes completing periodic qualitative BCM assessments, ongoing monitoring of the BCMs’ work product, and addressing any areas in need of improvement with individual BCMs as appropriate
• Ongoing monitoring and management of internal BCM resources to ensure appropriate staffing and coverage
• Ensure appropriate training, support and tools are provided to the BCM team to perform their duties. This pertains not only to developing amp; maintaining the required skills and knowledge to succeed in their role, but also the system reporting and tools required to complete their assigned duties
• Ensure robust issues management tracking and other evidence of compliance supervision to: (a) ensure appropriate documentation of BCM supervision, (b) identify trends or concerns, (c) identify potential BCM performance issues, and (d) take appropriate action to address any concerns identified, which includes escalation of material compliance/supervision issues to management
• Ongoing management and monitoring of key BCM metrics that are used to track work volumes amp; capacity, identify potential performance issues or resourcing issues, and identify potential efficiencies. This includes identifying potential enhancements to any existing BCM metrics
• Ensure appropriate monitoring of the shared BCM inbox(es) to ensure accurate and timely responses are provided to credit union partners and advisors in a professional and service-first manner. This includes leading the development of a process or system to identify material trends or concerns and working with management to address those issues
• Ensure that the tracking and documentation required to administer the Tier 1 program is completed as required. This includes, for example, Monthly regulatory reporting, close supervision reporting, monthly BCM billing, and other similar administrative functions as assigned by the Tier 1 Director
• Assist with the planning and execution of corporate and department level projects or initiatives, as assigned by the Tier 1 Director

Requirements

Your experience and skills:

• At least 5 y

Job Rewards and Benefits