Job title: Registrations Officer, Temporary

Company: Aviso Wealth

Job description: Aviso Wealth:

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

The Opportunity:

We’re looking for a Registrations Officer to join our Registrations team on a 6 month contract.

This can be a remote role, however for those who would like to come into the office we are at 1111 West Georgia St, Vancouver, BC.

Reporting to the Manager, Registrations the Registrations Officer is responsible for all aspects of registration, licensing and E&O insurance with the various provincial securities commissions, provincial insurance councils, self-regulatory organizations (SROs) and E&O provider for all of the lines of business at Aviso Wealth. In addition, this position is responsible for maintaining current databases and records related to registrations/licensing, developing and communicating registration/licensing requirements and procedures throughout Aviso Wealth Inc. and responding to specific inquiries and issues.

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:

• Process registration forms and related materials with respect to licensing, material changes, and terminations, through the National Registration Database (NRD) and insurance councils for Aviso’s dealing representatives, supervisors, branch managers, portfolio managers, executives, permitted individuals, branches and sub-branches
• Escalate applications and material changes to the Manager, Registrations where screening guidelines are not met, a financial/regulatory/criminal/civil or other misconduct is disclosed, as well as additional requests outside of documented processes
• Track registrants and licensees to ensure all required educational and proficiency requirements are satisfied and individuals comply with the Securities/Insurance Act and SRO restrictions for the relevant categories of registration as well as track other licenses, designations, and outside activities
• Process applications, changes and terminations to Errors & Omissions Insurance coverage, coordinating with E&O provider, as applicable
• Liaise with Aviso staff, Registrations personnel, provincial regulators, E&O provider and Credit Unions on registration related matters, to obtain information and materials related to registrations and E&O, to ensure compliance with regulatory requirements, and to co-ordinate advisor onboarding and offboarding processes
• Respond to financial institution registration and E&O related inquiries and requests from the regulators and from within Aviso and conduct relevant research as required and provide resolutions for any outstanding registration issues and deficiencies
• Maintain current databases (i.e. CLRS, Univeris, Supervision INSIGHTS, NRD, WIP spreadsheet, Advisor Listing spreadsheet) with applicable registration and related information
• Stay current on regulatory registration/licensing requirements and legislative changes affecting the financial industry
• Provide assistance and feedback to the compliance team with the delivery of registration/licensing/E&O policies and procedures and with forms and document templates which affect Aviso registrations and licensing
• Respond to MFDA, IIROC and Insurance accounting inquiries and reconcile registration fees
• Tracking of all QA and QAM New Advisor/Rep Supervision

Requirements

Your experience and skills:

• Successful completion of CSC or IFIC (preferably CSC) and CPH within 1 year of joining Aviso
• Intermediate skills in MS Word, Excel & Outlook and ability to pick up new applications quickly
• Two years’ experience in investment/banking/mutual fund/insurance dealer and/or securities/insurance regulator
• Experience in operating within the Credit Union System is an asset
• Extremely detailed oriented with strong organizational, time management and analytical skills
• Proficient in completing accurate, clear and concise documentation
• Ability to work independently with minimum supervision and a high degree of personal initiative
• Ability to deal with stressful situations in a diplomatic fashion
• Excellent analytical skills with the ability to reconcile complex data from different sources
• Fluent communication skills in English are required and bilingual skills in French are an asset

Benefits

Why 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 Opportunity

Aviso 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 Overview:

Aviso Wealth is a national, integrated financial services company, with over $100 billion in assets under administration and management. Aviso Wealth is owned by Credit Union Centrals, The Co-operators / CUMIS and Desjardins. Our MFDA-regulated dealer, full-service IIROC-regulated brokerage, and insurance dealer support thousands of financial advisors at credit unions across Canada. Our award-winning online brokerage, Qtrade Direct Investing, and our digital advice platform, VirtualWealth, give Canadians flexible choices for building their wealth. Our asset manager, NEI Investments, is a Canadian leader in Responsible Investment funds and portfolios, which are available through a national network of advisors. Aviso Wealth also provides custodial services and introducing broker services to independent financial organizations, including banks, trust companies, insurance companies, investment dealers, portfolio managers and financial planning firms. We have operations in Toronto, Vancouver, and Montreal with a regional office in Winnipeg. More information about Aviso Wealth is available at .

Salary

This position is posted with an expected salary range of $60,000 – $70,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.

Expected salary: $60000 – 70000 per year

Location: Vancouver, BC

Job date: Wed, 15 Nov 2023 23:10:06 GMT