Vp, Regulatory Affairs Jobs

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 www.aviso.ca.

The Opportunity:

We’re looking for a VP, Regulatory Affairs, to join our Compliance team.

This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON.

Reporting to the Chief Compliance Officer, the VP, Regulatory Affairs is responsible for the enhancement and effectiveness of the compliance program, leading large teams in the development of policies, implementation of new systems and solutions, execution of Compliance strategic initiatives, and working with regulatory and other industry organizations. The VP, Regulatory Affairs is also responsible for ensuring Aviso’s compliance with the rules and regulations of regulatory organization and other laws or rules and makes certain that related company policies and procedures are current, being followed, and that Aviso and our partners meet industry's standards of ethical conduct.

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
• 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
• Leadership – 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
• 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

What your day looks like:

• Function as a key liaise with CIRO, and other regulatory and industry organizations regarding regulatory policy
• Strong and demonstrable experience in plain language writing and communication style
• Strong liaise with ERM around material compliance risks and advisor conduct matters
• Advising and directing a large team of compliance employees regarding a broad spectrum of compliance related topics (e.g., audit, complaint handling, policy)
• Strengthen and enhance compliance processes, supervisory controls, and risk management insights through technology
• Maintain a current and advanced knowledge of all regulations that pertain to the functions they administer and provide thought leadership
• Providing education and training on actual, proposed or pending regulation that affects internal operations and business functions to internal and external stakeholders
• Leadership in the development, enhancement and maintenance of the regulatory developments framework, the compliance policy infrastructure, a data analytics risk management strategy, and deliver a robust compliance regime
• Delivery of key messages to senior management of Aviso, Credit Union executives and board of directors
• Measurement of compliance through escalated issues framework as well as coordinating audits generated by internal and external sources for appropriate risk management

Requirements

Your experience and skills:

• Exercising proactive and independent judgment when providing advice to senior leadership
• Strong presentation skills and public speaking experience
• Experience in the implementation of technology-based solutions
• Extensive experience (minimum 12-15 years') in the wealth management industry
• Fluent communication skills in English are required and bilingual skills in French are an asset
• Strong leadership skills and understanding of how to ensure an effective compliance plan is distributed throughout all levels of the organization
• Results driven, highly accountable with strong work ethic
• Deep and broad knowledge of all rules and regulations
• Extensive experience (minimum 5+ years') in a senior compliance position, and compliance experience working with legacy MFDA/IIROC regulations

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:

• Regular social events to foster teamwork
• Commitment to the continuous improvement of our staff through learning & development and an education assistance program
• Excellent health, dental and insurance benefits to meet the diverse needs of our employees
• Generous vacation time, fitness benefit, parental leave top-up options
• Competitive compensation package that rewards and recognizes individual contributions
• Matching contributions to our retirement program

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 www.aviso.ca.