Trade Compliance Officer

The Opportunity

We’re looking for a Trade Compliance Officer to join our Compliance team.

Reporting to the Director of Trade Compliance, the Compliance Officer, Trade Compliance is responsible for day-to-day trade compliance activities for all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This includes daily and monthly trade surveillance reviews and quarterly trend analysis to detect manipulative and deceptive trading activities, in accordance with regulatory requirements established by Canadian Investment Regulatory Organization (CIRO), and the provincial Securities Commissions, as well as AFI internal policies and procedures. This role will be a subject matter expert on the Universal Marketplace Integrity Rules (“UMIR”).

Who you are

• Service  – You put your clients’ needs first. You advocate service excellence, and work to deliver client‑centric solutions, and proactively...