Branch Compliance Manager, Temporary

Aviso Wealth: 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 www.aviso.ca . The Opportunity: We’re looking to fill an opening for a Branch Compliance Manager to join our Compliance team for 9 months. The Branch Compliance Manager will focus on providing Daily Tier 1 supervision of advisors located across Canada. The successful applicant will work closely with head office compliance staff to manage Aviso's overall compliance functions. 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 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 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 What your day looks like: Perform approval of new accounts and material changes to existing accounts Perform Tier 1 daily and monthly reviews of advisor trading activity Deal with compliance issues as identified, through to resolution and/or appropriate escalation Key day-to-day contact for advisors regarding compliance related matters Follow up with advisors on missing documentation Act as back-up during absence of other Branch Compliance Managers and compliance staff Support advisors with ongoing compliance education and training Assist with compliance projects and initiatives as needed Conduct branch visits at partner locations as required