Branch Examiner

Job title:

Branch Examiner

Company

Aviso Wealth

Job description

Aviso Wealth: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:We’re looking for a Branch Examiner to join our Compliance team.Reporting to the Senior Manager, Branch Examination, the Branch Examiner is responsible for conducting onsite and/or remote branch and sub-branch examinations of CIRO dealer business locations. As this is a hybrid role, work will be performed from an Aviso office and also onsite at partner branches. The Branch Examiner role is a position which requires supervisor registration.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

What your day looks like:

• Conduct onsite and/or remote examinations of CIRO (both mutual funds and investment), branch and sub-branch locations of our dealer business
• Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures
• Communicate audit results and follow up on action items
• Update and maintain the audit schedule and prepare detailed audit reports, identifying issues, recommending corrective actions, and following up with our financial institution partners in closing outstanding items in accordance with existing policy and procedures
• Support the maintenance and improvement of the Branch Review Program in accordance with updated regulatory changes and dealer policies and procedures
• Perform various internal testing and examinations at head office as required and perform other duties and special projects

RequirementsYour experience and skills:

• University Degree related to finance and securities preferred
• Successful completion of requisite courses (ie: Canadian Securities Course) with an ability to be licensed with CIRO
• 3 to 5 years of compliance supervision experience within the financial services industry
• Experience as a Branch Compliance Officer, Branch Manager, Branch Auditor, Compliance Officer, or Financial Advisor in a mutual fund dealer or investment dealer firm is preferred
• Sound knowledge of the rules and regulations governing the securities industry
• Proficient in Microsoft Outlook, Excel and Word
• Experience operating in a Credit Union system and familiarity with Dataphile is an asset
• Excellent analytical and investigative skills with strong attention to detail
• Excellent interpersonal skills with the ability to present information to different audiences
• Excellent organizational and time management skills
• Disciplined work ethic and committed to producing excellence in work output
• Ability to work with minimum supervision with a strong commitment to customer service
• This position must have the ability to travel to branch locations with some trips requiring numerous overnight stays with the potential to travel up to 35%
• Fluent communication skills in English are required and bilingual skills in French are an asset

BenefitsWhy Aviso Wealth?At Aviso Wealth, 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

Equal Employment OpportunityAviso Wealth 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 overviewAviso is a leading wealth management and investment services provider for the Canadian financial industry, with over $130 billion in total assets under administration and management, and over 1,000 employees. We’re building a comprehensive, technology-enabled, client-centric wealth services ecosystem. Our clients include our partners, advisors, and investors. We’re 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. We’re 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 you’re looking for interesting and challenging work, at a company committed to its people, apply to join our team.SalaryThis position is posted with an expected salary range of $80,000- $90,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.

Expected salary

$80000 – 90000 per year

Location

Vancouver, BC

Job date

Sat, 18 Jan 2025 23:38:35 GMT

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