Become a Trade Compliance Specialist with Aviso, focusing on trade surveillance and ensuring CIRO compliance. This position requires strong analytical skills and fosters a culture of adherence within teams.
Reporting directly to the Director of Trade Compliance, you will play a vital role in executing compliance reviews to detect manipulative trading activities. Your work will include improving policies for reporting and educating team members. Bring your expertise to a forward-thinking compliance environment.
Key Responsibilities:
• Analyze compliance reports for any regulatory violations
• Review PRO account trading practices and document changes
• Approve new brokerage and institutional client accounts
• Prepare and file necessary regulatory compliance reports
• Address trade compliance concerns with financial advisors
Requirements:
• Relevant postsecondary degree
• 3–5 years of industry experience, 4+ in compliance
• Familiarity with mutual funds re...