Job title: Senior Manager, Asset Management Compliance

Company: Aviso Wealth

Job description: 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 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 Wealth has to offer at .

The Opportunity: We’re looking for a Senior Manager, Asset Management Compliance to join our Asset Management Compliance team.

This can be a remote role, however for those who would like to come into the office we are at 151 Yonge St, Toronto, ON.

Reporting to the VP, Corporate Compliance, the Senior Manager, Asset Management Compliance is responsible for develop policy and procedures, providing guidance to business initiatives, and review marketing and sales practices to ensure they are compliant.

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:

Lead and manage all sales communications and advertisement reviews (including but not limited to marketing materials and website content), all co-operative marketing and sales practices / requests to ensure they are in compliant with NI 81-105 and the firm’s Policies and Procedures, including:

• Monitor and promptly address non-compliance with regards business promotion activities / business promotional items
• Liaise with internal and external clients in managing co-op event process
• Maintain orderly filing system for documenting review and approvals of marketing materials and co-op requests
• Prepare and provide Compliance training to new employees and conduct periodic refresher training (specific but not limited to NI81-105)

Manage the maintenance of NEI Compliance Policies and Procedures, including but not limited to the Conflict-of-Interest Manual and the Codes.

• Monitor new legislation and industry best practices in order to identify compliance flaws and immediately take action to address them
• Develop NEI Compliance policies and procedures for approval of the VP/CCO

Provide Compliance support with regards to Operations, Product, and Investment Management including:

• Work directly with operational leaders and participate in various cross-function teams, steering committees and working groups to represent Asset Management Compliance and provide compliance guidance with regards to new product offering / material changes and investment matters without constant consultations with VP/CCO

Provide support to the CCO/VP in asset management compliance matters including preparing various reports/referrals for the Independent Review Committee and the Board

Execute Compliance related Fund reporting oversight and Sub-advisor reporting oversite, including but not limited to:

• Supporting the onboarding of new sub-advisors (reviewing trading strategies and mandates to ensure compliance with NI 81-102 / conduct training and consultations on derivatives rules, etc.)
• Coordinate collection and tracking of quarterly subadvisor compliance certifications
• Review Access Person personal trading in accordance with the firm’s Policies and Procedures
• Conduct daily and monthly Fund mandate and sub-advisor oversight, and escalate discrepancies to VP, Portfolio Management and VP, Corporate Compliance
• Regulatory reporting (45-106, 31-103, 81-107) and direct interaction with the OSC as part of their audit/desk reviews

Requirements:

• Post-secondary degree or diploma in business or equivalent experience
• CFA, CSC and/or IFIC mutual fund course an asset
• 6 – 8 years’ progressive experience in compliance related work experience, preferably 3 – 5 years in the area of mutual fund management
• Comprehensive knowledge of the mutual fund rules including NI 81-101, NI 81-102, NI 81-105, and NI 81-106
• Strong analytical skills, and attention to detail
• Strong organization stills are required
• Ability to work independently
• 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 powers businesses that empower investors. We are a national, integrated financial services company, with approximately $110 billion in assets under administration and management. Aviso Wealth is owned by Credit Union Centrals, Co-operators / CUMIS and Desjardins. Our mutual funds dealer, securities 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, Qtrade Guided Portfolios, give Canadians flexible choices for building their wealth. Our asset manager, NEI Investments, offers a comprehensive lineup of 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 .

Expected salary:

Location: Toronto, ON

Job date: Sun, 04 Jun 2023 05:44:25 GMT