Finance Manager (Brokerage)

As we continue to scale, we are seeking a Senior Manager of Finance to join our growing global team. Reporting directly to the Vice President of Finance, the Senior Manager of Finance will play a critical role in managing the day-to-day financial operations of the company. This position is highly tactical and hands-on, overseeing the global accounting function and partnering closely with business leaders across departments and geographies. The Senior Manager of Finance will be responsible for financial planning and analysis, audit readiness, systems integration, and team leadership. The ideal candidate will bring strong accounting expertise, experience working in complex, multi-entity environments, and the ability to drive process improvements in a fast-paced, evolving organization. This is a unique opportunity for a highly organized and proactive finance professional to make a significant impact at a pivotal stage in our company’s growth. CORE RESPONSIBILITIES  Accounting Operations & Oversight Directly manage and supervise the global accounting team, including the Accounting Manager, AP/AR specialists, Payroll, and European Accounting leads. Proactively drive the month-end close cycle to ensure timely and accurate completion of consolidated financial statements, including those of the Company’s subsidiaries.  Provide IFRS interpretations and guidance to assist the team in performing appropriate analysis and documenting accounting determinations for management and external auditors. Maintain and improve accounting workflows, internal controls, reconciliations, and compliance with applicable standards (IFRS/GAAP). Coordinate and lead annual external audits and support internal audits and compliance initiatives. Oversee global payroll processes in partnership with HR and external providers. Financial Planning & Business Partnership Partner with department heads and functional leaders across the business to develop accurate forecasts and budgets. Provide in-depth variance analysis, reporting, and commentary on financial performance. Support cross-functional operational planning and cost optimization initiatives. Act as a finance liaison to teams in North America and Europe, ensuring alignment between financial operations and business goals. Systems & Process Improvements Serve as the in-house NetSuite expert, overseeing configuration, reporting, and integrations with other systems (e.g., expense, HRIS, project management tools). Identify and lead process automation, system improvements, and data quality initiatives across the finance function. Support ongoing ERP upgrades, implementations, and systems consolidations. Audit, Tax & Compliance Manage relationships with external auditors, tax advisors, and financial service providers. Ensure accurate and timely tax filings, regulatory submissions, and statutory reporting across all operating jurisdictions. Support public company compliance needs in coordination with the VP of Finance. Team Leadership & Development Mentor and develop a growing team of finance and accounting professionals. Promote cross-training, documentation of processes, and continuous learning within the team. Foster a culture of accountability, accuracy, and service across the finance organization. Requirements Required CPA designation (or international equivalent) with 7–10 years of progressive accounting and finance experience. Proven track record of managing full-cycle accounting in global or multi-entity organizations. Strong technical proficiency in NetSuite (or similar ERP), with ability to lead process improvements and systems integrations. Experience managing audits and working with external vendors (auditors, payroll, tax advisors, systems consultants). Advanced Excel skills and proficiency in financial reporting, analysis, and modeling. Excellent leadership and team management skills; experience overseeing accounting teams directly. Strong understanding of internal controls, compliance, and operational finance.   Key Competencies Highly detail-oriented, hands-on, and process-driven. Excellent communication and interpersonal skills; able to work across teams and time zones. Strong organizational skills and ability to manage multiple priorities. Collaborative, resourceful, and comfortable in a fast-paced, high-growth environment.   Preferred/Assets Experience in esports, media, gaming, tech, or entertainment industries. Familiarity with commission- and prize-based compensation models. Experience with public company financial operations and reporting. Bilingual in English and Spanish is a strong asset.

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 www.aviso.ca. The Opportunity: We’re looking for a Bilingual Trade Services Administrator to join our Trade Services team. Reporting to the Supervisor, Trade Services, the Bilingual Trade Services Administrator is responsible for the processing and settlement of mutual fund trades and GIC’s, completing trade corrections, adhering to regulatory standards and internal standards to meet necessary deadlines and using reasonable judgement to resolve problems in their daily tasks. 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 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 What your day looks like: Ensure daily settlement totals match the central depository Maintain daily settlement reports, and request money movement for transaction settlement Monitor rejections for trades and transactions, identify any issues and correct them on the system or advise the Credit Union of the corrections required Process GIC purchases, settlements, reconciliations and maturities Process Pool fund trades and settlements within specified SLAs Review and complete financial and non-financial adjustments Review requests for completeness and accuracy, communicating with internal and partner staff to verify and confirm details if necessary Communicating with Mutual Fund Companies via Letter of Indemnity, email, or phone call, to correct and resolve issues Respond to faxes received from Fund Companies and Credit Unions in a timely manner Respond to queries from other Aviso departments in a timely manner Support external and internal partners using the most efficient processing methods and recommending solutions for timely and accurate issue resolution Requirements Your experience and skills: Post-secondary education or professional development in a related field is an asset Minimum 1 years’ experience in the Operations team of a Financial Services firm, preferably Transaction Services related Successful completion of the Canadian Securities Course or IFIC Operations course would be an asset Fluency (written and spoken) in English and French is required to effectively communicate with partners, clients, and colleagues across Canada Dataphile, Fundserv, and Capital Markets experience is an asset Ability to work independently to achieve the required objectives, within company and regulatory requirements A creative and adaptable approach to solving problems Self-motivated and results driven Strong attention to detail and accuracy Proven ability to work well under pressure and in a fast-paced environment Strong customer service orientation Strong organizational, time management and administrative skills Proven decision-making, prioritizing, and interpersonal skills with the ability to establish and maintain effective working relationships with various levels of management and staff Intermediate Excel and Microsoft Office Knowledge Benefits Why Aviso? At Aviso, you will find a dynamic and inclusive culture that rewards innovation and celebrates success. Here are a few things that set us apart: Competitive compensation package that rewards and recognizes individual contributions Excellent health, dental and insurance benefits to meet the diverse needs of our employees Generous vacation time, fitness benefit, parental leave top-up options Matching contributions to our retirement program Commitment to the continuous improvement of our staff through learning & development and an education assistance program Regular social events to foster teamwork Your Information By submitting your application, you consent to the collection, use, and disclosure of your provided personal information for the purposes of assessing your qualifications and suitability for employment with Aviso. Your information will be handled in accordance with applicable Canadian privacy laws, including the Personal Information Protection and Electronic Documents Act (PIPEDA) and relevant provincial legislation. Your data may be shared with authorized personnel involved in the recruitment process and retained only as long as necessary to fulfill these purposes or as required by law. Further information is available on the Privacy link on our Career Page – Privacy Policies Equal Employment Opportunity Aviso 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 is a leading wealth management and investment services provider for the Canadian financial industry, with approximately $145 billion in total assets under administration and management, and over 1,000 employees. We’re building a comprehensive, technology-enabled, client-centric wealth services ecosystem. Our clients include our partners, advisors, and investors. We’re a trusted partner for nearly all credit unions across Canada, in addition to a wide range of portfolio managers, investment dealers, insurance and trust companies, and introducing brokers. Our partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving, highly competitive industry. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager, NEI Investments, specializes in investing responsibly. Our online brokerage, Qtrade Direct Investing®, empowers self-directed investors, and our fully automated investing service, Qtrade Guided Portfolios®, serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms. We have offices in Toronto, Vancouver, Montreal, and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals, Co-operators/CUMIS, and Desjardins. We’re proud to power businesses that empower investors. A career with Aviso means being part of a group of talented, energetic professionals who live their values every day, and belonging to an organization dedicated to your success and career development. If you’re looking for interesting and challenging work, at a company committed to its people, apply to join our team. Salary This position is posted with an expected salary range of $46,000 - $55,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.

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 are looking for a Bilingual Transfers Administrator to join our Transfers team. Reporting to the Supervisor, Transfers, the Bilingual Transfers Administrator is responsible for daily processing of transfers, reviews and approvals and dealing with escalated items. The successful candidate is collaborative, determined to acquire knowledge and experience and has the enthusiasm and energy to work in a dynamic environment. 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 What your day looks like: Process transfer in requests according to service level agreements Monitor the transfers mailbox and collect incoming mail Initiate new manual or ATON transfers in and transfers out, including internal transfers Track status and follow-up on initiated transfers Provide operational support for transfers to external institutions File completed transfer documents and shred all printed documents Review and respond to transfers in inquiries Assist / cover others in the Transfers Department as needed Handle special projects or other assignments as requested Requirements Your experience and skills: Post-secondary education and/or equivalent experience Minimum 1-2 years of experience in back-office administration in a financial securities firm Extremely detail oriented and accurate Strong problem-solving skills Excellent organizational and multi-tasking skills to meet required deadlines daily Strong team player in the department and across departments Strong desire and initiative to become a subject matter expert over time and to reach out and understand the functions of other departments in Operations Strong knowledge of Microsoft Office (Outlook, Excel, Word) Knowledge and experience of Dataphile, Fundserv, CDS and DTCC is an asset Fluency (written and spoken) in English and French is required to effectively communicate with partners, clients, and colleagues across Canada Ability to work EST standard hours 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: Competitive compensation package that rewards and recognizes individual contributions Excellent health, dental and insurance benefits to meet the diverse needs of our employees Generous vacation time, fitness benefit, parental leave top-up options Matching contributions to our retirement program Commitment to the continuous improvement of our staff through learning & development and an education assistance program Regular social events to foster teamwork Your Information By submitting your application, you consent to the collection, use, and disclosure of your provided personal information for the purposes of assessing your qualifications and suitability for employment with Aviso. Your information will be handled in accordance with applicable Canadian privacy laws, including the Personal Information Protection and Electronic Documents Act (PIPEDA) and relevant provincial legislation. Your data may be shared with authorized personnel involved in the recruitment process and retained only as long as necessary to fulfill these purposes or as required by law. Further information is available on the Privacy link on our Career Page – Privacy Policies Equal Employment Opportunity Aviso 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 is a leading wealth management and investment services provider for the Canadian financial industry, with approximately $145 billion in total assets under administration and management, and over 1,000 employees. We’re building a comprehensive, technology-enabled, client-centric wealth services ecosystem. Our clients include our partners, advisors, and investors. We’re a trusted partner for nearly all credit unions across Canada, in addition to a wide range of portfolio managers, investment dealers, insurance and trust companies, and introducing brokers. Our partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving, highly competitive industry. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager, NEI Investments, specializes in investing responsibly. Our online brokerage, Qtrade Direct Investing®, empowers self-directed investors, and our fully automated investing service, Qtrade Guided Portfolios®, serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms. We have offices in Toronto, Vancouver, Montreal, and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals, Co-operators/CUMIS, and Desjardins. We’re proud to power businesses that empower investors. A career with Aviso means being part of a group of talented, energetic professionals who live their values every day, and belonging to an organization dedicated to your success and career development. If you’re looking for interesting and challenging work, at a company committed to its people, apply to join our team. Salary This position is posted with an expected salary range of $46,000 - $55,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.

Are you detail-oriented with a knack for numbers? We're looking for an Accounting Associate, Royalties & Reporting to join our growing team! In this role you'll be responsible for preparing and issuing quarterly royalty reports to producers and rights holders, managing the reporting schedule, and ensuring all tax (including withholding tax) and related obligations are handled accurately. This role will also manage inbound financial reporting from distribution and transactional partners, ensuring that data is properly tracked, validated and ingested entered into the accounting system. In addition, the role supports reporting to government funding agencies (e.g., Telefilm) and contributes to the financial close and audit processes. Key Responsibilities Royalty & Producer Reporting (Primary Focus): Prepare, review, and issue quarterly royalty statements to producers and rights holders for acquired and distributed titles. Maintain royalty reporting schedules and ensure deadlines are consistently met. Process and track royalty payments, including calculation and remittance of withholding tax (WHT). Field inquiries from producers and rights holders regarding statements, payments, and reporting details. Reconcile producer royalty statements against internal records to ensure accuracy. Inbound Partner Reporting: Receive and process financial reporting from transactional partners, home video partners, and other distribution partners. Validate and reconcile partner reports against internal records. Enter data into the accounting system for revenue recognition and royalty calculation. Monitor and track reporting timeliness and follow up with partners as required. Government & Regulatory Reporting: Assist with preparation and submission of reports to government funding agencies (e.g., Telefilm, Canada Media Fund). Ensure reporting aligns with program guidelines and contractual obligations. Support FP&A Director in maintaining compliance with reporting and audit requirements. Preparation and filing of monthly withholding tax returns, HST returns and quarterly QST returns. Annual reconciliation and filing of withholding tax NR4 forms General Accounting & Month-End Support: Prepare journal entries and reconciliations related to royalties, licensing revenue, and deferred revenue. Support quarterly close through roll forward schedules and working papers specific to royalties and reporting. Ad Hoc & Audit Support: Provide documentation for recurring audits, particularly royalty, WHT, partner, and Telefilm-related items. Support distribution and production teams with ad hoc financial reporting as needed. Contribute to process improvements in royalty, partner, and government reporting workflows. Compensation Salary: $53,000 - $60,000 Vacation: starting at two (2) weeks per year, plus one (1) week company closure over Winter holidays Hybrid work model, in office Mon-Wed and work remotely Thurs/Fri (subject to change based on Company needs) About Elevation Pictures Founded in 2013 in partnership with Teddy Schwarzman of Black Bear Pictures, Elevation Pictures has grown to become Canada’s leading independent entertainment company specializing in distribution and production of feature films. Elevation is known for releasing both commercial and critically acclaimed films, including Academy Award-winning films The Imitation Game, Room, Everything Everywhere All At Once, and Moonlight. Most recent accolades include Anora, which won 5 Academy Awards including Best Picture. Elevation is also known for its strong slate of Canadian films, including Elevation productions Alice, Darling starring Anna Kendrick, Infinity Pool starring Alexander Skarsgård and Mia Goth, and BlackBerry starring Jay Baruchel and Glenn Howerton. For more information, please visit elevationpictures.com Requirements Post-secondary degree/diploma in Accounting, Finance, or related field (CPA track an asset). 1–3 years of accounting or finance experience (film/media experience is an asset but not required). Strong Excel skills; familiarity with accounting/ERP systems preferred. Detail-oriented with strong organizational and time management skills. Strong communication skills (written and verbal), with the ability to respond to external inquiries professionally. Interest in the film/media industry and willingness to learn specialized reporting requirements. Benefits This is a hybrid opportunity (3 days in office, 2 remote) Extended Healthcare Plan (Medical, Disability, Dental & Vision) Group Life - AD&D - Critical Illness Insurance Cell phone reimbursement for business usage Access to film screenings during TIFF

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 for an Estates Specialist to join our Operations team. Reporting to the Supervisor Operations, Estates, the Estates Specialist is responsible for the review, preparation, settlement, and taxation filing of client estate accounts. This role is responsible for delivering on our Service Level Agreements and work with partners to resolve escalations in an urgent and efficient manner. 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 What your day looks like: Performs estates settlements, journal processing, issuance of tax documents for estates accounts, address estate related inquiries/issues per internal deadlines Ensures all information and request channels are current and up to date (e.g. requests for OSM, Laserfiche, mailbox) Proactively offers assistance and maintains a positive attitude as a member of the team and works closely with other Operational teams Reviews current processes of MFDA and IIROC estate settlements and pro-actively make recommendations for improvement Ensures training checklist is up to date and current Provide regular status and immediately highlights if there are any items in backlog so resources can be allocated Reviews and ensures the following are current: MFDA and IIROC checklists, departmental procedures and manuals per trustee or regulatory changes Actively participates in IIAC Committee meetings and remains current on CRA, RQ, HRSDC and trustee regulations through the review of legislation, press releases, and industry information bulletins Provide support to the Estates Contact Centre by proactively responding to partner inquiries by delivering on fast, friendly and efficient service Resolve problems at first point of contact where possible Requirements Your experience and skills: Post-secondary education Minimum of 5 years’ financial industry experience, preferably in Estates, Registered Plans or Operations Industry knowledge of MFDA, IIROC, CRA and RQ rules and regulations preferred Pro-active in problem solving with strong analytical skills, presenting recommendations for review and implementation Extremely detail oriented and accurate with a focus on quality assurance Ability to work independently and in a team environment Outstanding customer service focus Excellent time management and organizational skills with the ability to work well under pressure and meet time deadlines Intermediate to advanced computer skills in Word, Outlook, Excel Experience with Dataphile is an asset Fluent communication skills in English are required and bilingual skills in French are an asset Ability to work EST/PST standard hours 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: Competitive compensation package that rewards and recognizes individual contributions Excellent health, dental and insurance benefits to meet the diverse needs of our employees Generous vacation time, fitness benefit, parental leave top-up options Matching contributions to our retirement program Commitment to the continuous improvement of our staff through learning & development and an education assistance program Regular social events to foster teamwork Your Information By submitting your application, you consent to the collection, use, and disclosure of your provided personal information for the purposes of assessing your qualifications and suitability for employment with Aviso. Your information will be handled in accordance with applicable Canadian privacy laws, including the Personal Information Protection and Electronic Documents Act (PIPEDA) and relevant provincial legislation. Your data may be shared with authorized personnel involved in the recruitment process and retained only as long as necessary to fulfill these purposes or as required by law. Further information is available on the Privacy link on our Career Page – Privacy Policies Equal Employment Opportunity Aviso 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 is a leading wealth management and investment services provider for the Canadian financial industry, with approximately $145 billion in total assets under administration and management, and over 1,000 employees. We’re building a comprehensive, technology-enabled, client-centric wealth services ecosystem. Our clients include our partners, advisors, and investors. We’re a trusted partner for nearly all credit unions across Canada, in addition to a wide range of portfolio managers, investment dealers, insurance and trust companies, and introducing brokers. Our partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving, highly competitive industry. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager, NEI Investments, specializes in investing responsibly. Our online brokerage, Qtrade Direct Investing®, empowers self-directed investors, and our fully automated investing service, Qtrade Guided Portfolios®, serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms. We have offices in Toronto, Vancouver, Montreal, and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals, Co-operators/CUMIS, and Desjardins. We’re proud to power businesses that empower investors. A career with Aviso means being part of a group of talented, energetic professionals who live their values every day, and belonging to an organization dedicated to your success and career development. If you’re looking for interesting and challenging work, at a company committed to its people, apply to join our team. Salary This position is posted with an expected salary range of $60,000 - $70,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.

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 for a Compliance Officer to join our Compliance team. Reporting to the Senior Manager, Branch Examination, the Compliance Officer is responsible for conducting onsite and/or remote branch and sub-branch examinations of CIRO dealer business locations. As this is a hybrid role, work will be performed from an Aviso office and also onsite at partner branches. The Compliance Officer role is a position which requires supervisor registration. 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 What your day looks like: Conduct onsite and/or remote examinations of CIRO (both mutual funds and investment), branch and sub-branch locations of our dealer business Prepare pre-visit audit materials and schedule and plan examinations in accordance with regulatory requirements and dealer policies and procedures Communicate audit results and follow up on action items Update and maintain the audit schedule and prepare detailed audit reports, identifying issues, recommending corrective actions, and following up with our financial institution partners in closing outstanding items in accordance with existing policy and procedures Support the maintenance and improvement of the Branch Review Program in accordance with updated regulatory changes and dealer policies and procedures Perform various internal testing and examinations at head office as required and perform other duties and special projects Requirements Your experience and skills: University Degree related to finance and securities preferred Successful completion of requisite courses (ie: Canadian Securities Course) with an ability to be licensed with CIRO 3 to 5 years of compliance supervision experience within the financial services industry Experience as a Branch Compliance Officer, Branch Manager, Branch Auditor, Compliance Officer, or Financial Advisor in a mutual fund dealer or investment dealer firm is preferred Sound knowledge of the rules and regulations governing the securities industry Proficient in Microsoft Outlook, Excel and Word Experience operating in a Credit Union system and familiarity with Dataphile is an asset Excellent analytical and investigative skills with strong attention to detail Excellent interpersonal skills with the ability to present information to different audiences Excellent organizational and time management skills Disciplined work ethic and committed to producing excellence in work output Ability to work with minimum supervision with a strong commitment to customer service This position must have the ability to travel to branch locations up to 25%. Travel may increase in the future. Fluent communication skills in English are required and bilingual skills in French are an asset 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: Competitive compensation package that rewards and recognizes individual contributions Excellent health, dental and insurance benefits to meet the diverse needs of our employees Generous vacation time, fitness benefit, parental leave top-up options Matching contributions to our retirement program Commitment to the continuous improvement of our staff through learning & development and an education assistance program Regular social events to foster teamwork Your Information By submitting your application, you consent to the collection, use, and disclosure of your provided personal information for the purposes of assessing your qualifications and suitability for employment with Aviso. Your information will be handled in accordance with applicable Canadian privacy laws, including the Personal Information Protection and Electronic Documents Act (PIPEDA) and relevant provincial legislation. Your data may be shared with authorized personnel involved in the recruitment process and retained only as long as necessary to fulfill these purposes or as required by law. Further information is available on the Privacy link on our Career Page – Privacy Policies Equal Employment Opportunity Aviso 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 is a leading wealth management and investment services provider for the Canadian financial industry, with approximately $145 billion in total assets under administration and management, and over 1,000 employees. We’re building a comprehensive, technology-enabled, client-centric wealth services ecosystem. Our clients include our partners, advisors, and investors. We’re a trusted partner for nearly all credit unions across Canada, in addition to a wide range of portfolio managers, investment dealers, insurance and trust companies, and introducing brokers. Our partners depend on Aviso for specific solutions that give them a competitive edge in a rapidly evolving, highly competitive industry. Our investment dealer and mutual fund dealer and our insurance services support thousands of investment advisors. Our asset manager, NEI Investments, specializes in investing responsibly. Our online brokerage, Qtrade Direct Investing®, empowers self-directed investors, and our fully automated investing service, Qtrade Guided Portfolios®, serves investors who prefer a hands-off approach. Aviso Correspondent Partners provides custodial and carrying broker services to a wide range of firms. We have offices in Toronto, Vancouver, Montreal, and Winnipeg. Aviso is backed by the collective strength of our owners: the credit union Centrals, Co-operators/CUMIS, and Desjardins. We’re proud to power businesses that empower investors. A career with Aviso means being part of a group of talented, energetic professionals who live their values every day, and belonging to an organization dedicated to your success and career development. If you’re looking for interesting and challenging work, at a company committed to its people, apply to join our team. Salary This position is posted with an expected salary range of $80,000- $87,000 CAD annually. Individual compensation packages are based on various factors unique to each candidate and the requirements of the position.