Step into an impactful role as a Trade Compliance Officer at Aviso Financial. Leverage your expertise in trade activities and compliance oversight for impactful industry contributions.
In this role, you will be responsible for day-to-day compliance activities and surveillance. With a focus on preventing manipulative practices, you will utilize your 3 to 5 years of experience to enhance compliance strategies and assist advisors with their compliance needs. Your background in mutual funds and completion of the Investment Dealer Supervisor Course will be essential.
Key Responsibilities:
• Conduct daily/monthly trade compliance assessments
• Amend policies and enhance processes for trading
• Review and approve brokerage account applications
• Communicate compliance concerns and advise brokers
• Deliver trade compliance education via digital mediums
Requirements:
• Degree in a related field
• 3-5 years of relevant experience
• Familiarity with legislative fr...