Join Aviso Financial Inc as a Trade Compliance Officer and play an integral role in upholding our regulatory standards. This position emphasizes trade reviews and compliance education.
Reporting to the Director, your responsibilities will encompass conducting extensive daily and monthly trade oversight, analyzing trading activities, and collaborating with various teams. Your role as a subject matter expert on Universal Marketplace Integrity Rules will greatly influence our regulatory adherence strategies.
Key Responsibilities:
• Monitor and analyze compliance reports on trading activities
• Conduct new account validations and compliance checks
• Prepare and submit accurate regulatory documentation
• Address trade compliance concerns raised by advisors
• Offer ongoing compliance education to business units
Requirements:
• Degree in a relevant discipline with 3-5 years of experience
• Comprehensive knowledge of mutual funds and securities legislation
• CI...