Become a Trade Compliance Officer at Aviso Financial, ensuring regulatory adherence in a client-centric role. Engage in trade surveillance and policy enhancement to mitigate trading violations.
In this specialized role, you’ll report directly to the Manager of Trade Compliance, overseeing day-to-day activities across all business lines. Key responsibilities include analyzing trade compliance reports and providing education support to enhance understanding of regulations. Using your analytical skills, you will assist in policies to improve operational efficiencies and ensure compliance with CIRO and provincial securities regulations.
Key Responsibilities:
• Review compliance reports for manipulative trading activities
• Approve new online brokerage and institutional accounts
• Analyze supervision reports and submit regulatory documentation
• Communicate compliance issues with advisors and brokers
• Prepare content for compliance education and newsletters
Requirem...