Compliance Analyst, Temporary

Aviso:

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

The Opportunity:

Were looking to fill an opening for a Compliance Analyst to join our Compliance team for 9 months.

Reporting to the Manager Compliance Strategy and Analytics the Compliance Analyst is responsible for assisting with a wide range of compliance projects ensuring adherence to regulatory requirements and supporting risk management efforts across wealth management operations. This role involves working with various account types understanding financial flows and analyzing data to support compliance initiatives within the Canadian wealth management regulatory framework.

The successful candidate will play a key role in maintaining Aviso Wealths regulatory compliance standards while supporting our commitment to protecting client interests and maintaining market integrity.

Who you are:

• Service You put your clients needs first. You advocate service excellence and work to deliver client-centric solutions and 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

What your day looks like:

• Review client and compliance documentation to identify potential policy violations and compliance risks
• Analyze and reconcile financial data including journal entries and account activity to ensure accuracy and regulatory adherence
• Support special projects and initiatives aimed at improving compliance processes and implementing new regulatory requirements including planning modeling and testing
• Research and analyze new legislative and regulatory updates from bodies like the CIRO and CSA to assess their impact on firms systems and procedures
• Collaborate with various business units including operations Finance and Product to provide guidance on compliance requirements and resolve issues
• Prepare compliance reports and documentation using Excel and data analysis tools
• Responsible for creating and maintaining compliance training materials documentation and reference tools as it pertains to projects controls and new implementations
• Support internal audits and regulatory examinations as required

Your experience and skills:

• Bachelors degree or Diploma in Business Finance Accounting or a related field
• Completion of the Canadian Securities Course (CSC) or Investment Funds in Canada (IFC) required
• 35 years of experience in financial services insurance financial analysis or administrative roles
• Strong analytical and research skills to gather interpret and summarize compliance information
• Strong knowledge of Canadian account types (RRSP TFSA RESP etc.) and their associated regulatory requirements
• Familiarity with Canadian regulatory frameworks considered an asset.
• Solid understanding of accounting principles including journal entries and debit/credit flows
• Advanced proficiency in Microsoft Excel including data analysis pivot tables and reporting functions
• Experience with SQL or BI Tools for data extraction analysis and visualization is an asset
• Strong problem-solving and research skills with the ability to work through complex or ambiguous situations and large datasets
• Highly organized with exceptional attention to detail. Excellent written and verbal communication skills
• Fluent communication skills in English are required and bilingual skills in French are an asset

Why Aviso

At Aviso you will find a dynamic and inclusive culture that rewards innovation and celebrates success.
Here are a few things that set us apart:

• Competitive compensation package that rewards and recognizes individual contributions
• Excellent health dental and insurance benefits to meet the diverse needs of our employees
• Generous vacation time fitness benefit parental leave top-up options
• Matching contributions to our retirement program
• Commitment to the continuous improvement of our staff through learning & development and an education assistance program
• Regular social events to foster teamwork

Your Information

By submitting your application you consent to the collection use and disclosure of your provided personal information for the purposes of assessing your qualifications and suitability for employment with Aviso. Your information will be handled in accordance with applicable Canadian privacy laws including thePersonal Information Protection and Electronic Documents Act (PIPEDA)and relevant provincial legislation. Your data may be shared with authorized personnel involved in the recruitment process and retained only as long as necessary to fulfill these purposes or as required by law.

Further information is available on the Privacy link on our Career Page Privacy Policies

Equal Employment Opportunity

Aviso 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.

We thank all applicants for their interest however only those selected for further consideration will be contacted.

No recruiters or agencies please.

Company Overview:

Aviso is a leading wealth management and investment services provider for the Canadian financial industry with approximately $145 billion in total assets under administration and management and over 1000 employees. Were building a comprehensive technology-enabled client-centric wealth services ecosystem. Our clients include our partners advisors and investors. Were a trusted partner for nearly all credit unions across Canada in addition to a wide range of portfolio managers investment dealers insurance and trust companies and introducing brokers. Our partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving highly competitive industry. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager NEI Investments specializes in investing responsibly. Our online brokerage Qtrade Direct Investing empowers self-directed investors and our fully automated investing service Qtrade Guided Portfolios serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms. We have offices in Toronto Vancouver Montreal and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals Co-operators/CUMIS and Desjardins. Were proud to power businesses that empower investors.

A career with Aviso means being part of a group of talented energetic professionals who live their values every day and belonging to an organization dedicated to your success and career development. If youre looking for interesting and challenging work at a company committed to its people apply to join our team.

Salary

This position is posted with an expected salary range of $68000 - $78000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.

Required Experience:

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