VP, Regulatory Affairs at Aviso Wealth | Torre
VP, Regulatory Affairs
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Aviso Wealth

VP, Regulatory Affairs

Aviso Wealth
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Full-time

USD75.4K - 100K/year

~COP150M - 200M/year

+ Equity

+ Bonuses

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Hybrid (Toronto, Ontario, Canada)
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Posted over 2 years ago

Requirements and responsibilities

At Aviso Wealth, 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. We’re looking for a VP, Regulatory Affairs, to join our Compliance team. This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON. Reporting to the Chief Compliance Officer, the VP, Regulatory Affairs is responsible for the enhancement and effectiveness of the compliance program, leading large teams in the development of policies, implementation of new systems and solutions, execution of Compliance strategic initiatives, and working with regulatory and other industry organizations. Responsibilities: - Advising and directing a large team of compliance employees regarding a broad spectrum of compliance related topics (e.g., audit, complaint handling, policy) - Leadership in the development, enhancement and maintenance of the regulatory developments framework, the compliance policy infrastructure, a data analytics risk management strategy, and deliver a robust compliance regime - Strengthen and enhance compliance processes, supervisory controls, and risk management insights through technology - Measurement of compliance through escalated issues framework as well as coordinating audits generated by internal and external sources for appropriate risk management - Strong liaise with ERM around material compliance risks and advisor conduct matters - Maintain a current and advanced knowledge of all regulations that pertain to the functions they administer and provide thought leadership - Delivery of key messages to senior management of Aviso, Credit Union executives and board of directors - Providing education and training on actual, proposed or pending regulation that affects internal operations and business functions to internal and external stakeholders - Strong and demonstrable experience in plain language writing and communication style - Function as a key liaise with CIRO, and other regulatory and industry organizations regarding regulatory policy
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