Branch Compliance Manager

Description:

We’re looking for a Branch Compliance Manager to join our Thrive Wealth Management team, in partnership with Aviso Financial Inc., who is passionate about supporting licensed employees in building their knowledge while fulfilling their compliance requirements. If you are a mutual funds compliance subject matter expert, then apply for this role today. You’ll work with an experienced team of credit union employees as well as colleagues within the credit union walls to ensure mutual fund sales, services and activities meet compliance requirements.

How you’ll spend your time:
 

• Provide developmental and technical guidance to help enhance mutual fund registered advisors knowledge, gain efficiencies and help them grow.
• Ensure all sales and service activities meet compliance regulations to mitigate risk for the client, advisor and the Credit Union.
• With a thorough understanding of Mutual Fund regulatory requirements, policies, and procedures, collaborate with the team and proactively identify and recommend areas of efficiency
• Deliver organization-wide consistency when adopting process changes.
   

The way people describe you:
 

• Detail-oriented and confident in mastering procedures, problem solving, and communicating solutions.
• An excellent communicator with the ability to work closely with individuals spread across Saskatchewan.
• Informal leader who builds trusting working relationships with our credit union partners and staff.
• A natural team player with proven success in customer service
   

The experience you bring:
 

• 2+ years mutual fund compliance experience
• CSC or IFIC
• Branch Compliance Manager/ Officer Course (consideration will be given to those with the ability to obtain course ASAP)
• Extensive industry knowledge and understanding of compliance requirements
• Exceptional attention to detail
• Commitment to continuous learning and development