Job Description

We are currently seeking a Mutual Funds Compliance Specialist to join our team.

The Mutual Funds (MF)Compliance Specialist is accountable for daily and monthly Tier 1 supervision of mutual fund registered advisors. Serving in a dual capacity for the Credit Union and Aviso Wealth, this role ensures that all mutual fund activities comply with internal policies as well as external regulatory requirements set by Aviso Wealth (AW-MFD), the Canadian Investment Regulatory Organization (CIRO), and the BC Securities Commission (BCSC). The Specialist upholds established compliance programs and fosters ongoing compliance education, contributing to organizational growth while prioritizing risk mitigation and strict adherence to all applicable regulations.

Here’s what would be included as a part of your typical day

  • Compliance: Performs daily and monthly Tier 1 reviews of advisor trading activity, and approval of all account documents (., NAAF, KYC updates,...

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