Manager, Trade Compliance
Job in
Toronto, Ontario, M5A, Canada
Listing for:
Aviso Wealth
Full Time
position
Listed on 2026-03-03
Job specializations:
-
Business
Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Aviso:
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 Manager, Trade Compliance to join our Compliance team.
Reporting to the Director of Trade Compliance the Manager, Trade Compliance is responsible for maintaining and developing an effective trade compliance program for all business lines of Aviso Financial Inc (online brokerage, full service, institutional and correspondent). This includes leading the supervision of day to day activities of Trade Compliance though delegation of tasks, providing trade compliance guidance, advise and support to Trade Compliance Officers and other business units, and monitoring performance and the effectiveness of trade compliance processes, in accordance with regulatory requirements established by the Canadian Investment Regulatory Organization, 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”) and have a team of Trade Compliance Officers reporting to them. In addition, the role plays a key part in monitoring market conduct, regulatory reporting and trade surveillance to fulfill US SEC reporting obligations under SEC Form 13F and 13H.
Who you are:
Service – You put your clients’ needs first. You advocate service excellence, and work to deliver client-centric solutions, and proactively develop strategic partnerships that allow Aviso Wealth to become a trusted advisor and partnerExecution – 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 mistakesCollaboration – 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 organizationLeadership – You lead your team and provide regular direction, guidance, coaching, and motivation, all while striving for peak performance. You assist them in overcoming obstacles through additional resources, removal of roadblocks, and providing the level of support required for their success. You delegate and deliver feedback based on the in-depth understanding of your individual team members.What your day looks like:
Quarterly Trade Supervision Review (QTR), managing completion of annual ETR testing, and collecting annual certification/attestations; escalate any deficiencies or concerns identified and assist Director Trade Compliance to implement, amend and/or enhance policies and procedures and update process documentsCollaborating with the Capital Markets team and other divisions to solution trade compliance requirementsAssist in preparing Best Execution Committee materialsSupport Trade Compliance Officers with escalations and subject matter expertiseCommunicating with introducing brokers regarding any trade compliance concerns and tracking issues to ensure resolutionProvide day-to-day trade compliance education support to all business linesPreparing monthly Compliance Newsletter contentManage the firms obligations under SEC Form 13F and 13H including trade data gathering, validation, and filing.Requirements
Post secondary degree in related field combined with 5 - 7 years industry experience in trade compliance, market surveillance or…
Note that applications are not being accepted from your jurisdiction for this job currently via this jobsite. Candidate preferences are the decision of the Employer or Recruiting Agent, and are controlled by them alone.
To Search, View & Apply for jobs on this site that accept applications from your location or country, tap here to make a Search:
Search for further Jobs Here:
