Branch Compliance Manager at Aviso Wealth
Aviso Wealth • toronto, Canada
Role Description
Elevate your career as a Branch Compliance Manager at Aviso Wealth, ensuring compliance while supporting advisors across Canada. Leverage your expertise in the financial services industry in this impactful role.
In this position, you will provide Tier 1 supervision for advisors and collaborate closely with head office compliance staff. Your focus will center on managing compliance functions across the organization. This role emphasizes client advocacy, execution excellence, and a commitment to continuous improvement, making it ideal for collaborative leaders.
Key Responsibilities:
• Approve new and change requests for client accounts
• Execute daily and monthly trading activity reviews
• Resolve compliance issues and escalate as needed
• Serve as primary compliance contact for advisors
• Provide ongoing compliance training and education
Requirements:
• 5+ years in financial services experience
• Registration eligibility as a Branch Manager with CIRO
• S...
In this position, you will provide Tier 1 supervision for advisors and collaborate closely with head office compliance staff. Your focus will center on managing compliance functions across the organization. This role emphasizes client advocacy, execution excellence, and a commitment to continuous improvement, making it ideal for collaborative leaders.
Key Responsibilities:
• Approve new and change requests for client accounts
• Execute daily and monthly trading activity reviews
• Resolve compliance issues and escalate as needed
• Serve as primary compliance contact for advisors
• Provide ongoing compliance training and education
Requirements:
• 5+ years in financial services experience
• Registration eligibility as a Branch Manager with CIRO
• S...