Compliance Officer – Temporary

Aviso Wealth

. Conduct onsite and/or remote examinations of CIRO mutual fund and investment dealer branch and sub-branch locations .

Posted 10/31/2026contractVancouver • CanadaMid-LevelSenior💰 CA$83,000 - CA$92,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in conducting audits and examinations within the financial services industry, with a strong focus on compliance, regulatory requirements, and detailed reporting. Proficient in utilizing Microsoft Office tools and maintaining effective communication with stakeholders.

Highest-signal resume keywords

Compliance Supervision ExperienceBranch Compliance Officer ExperienceCanadian Securities Course CompletionKnowledge of Securities Industry RegulationsAnalytical and Investigative Skills

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Audit ReportingRegulatory ComplianceInternal TestingFinancial AnalysisAttention to Detail

Soft Skills

Interpersonal SkillsOrganizational SkillsTime Management SkillsPresentation SkillsCustomer Service Commitment

Tools & Technologies

Microsoft OutlookMicrosoft ExcelMicrosoft WordDataphile

Certifications & Qualifications

Canadian Securities CourseCIRO Licensing

Industry Keywords

Financial ServicesMutual Fund DealerInvestment DealerBranch Review ProgramCredit Union System

About the role

Key responsibilities & impact

Conduct onsite and/or remote examinations of CIRO mutual fund and investment dealer branch and sub-branch locations
Prepare pre-visit audit materials and schedule and plan examinations according to regulatory requirements and dealer policies and procedures
Communicate audit results and follow up on action items
Update and maintain the audit schedule
Prepare detailed audit reports identifying issues and recommending corrective actions
Follow up with financial institution partners to close outstanding items according to policy and procedures
Support maintenance and improvement of the Branch Review Program in response to regulatory changes and dealer policies and procedures
Perform internal testing and examinations at head office as required
Perform other duties and special projects
Report to the Senior Manager, Branch Examination

Requirements

What you’ll need

University Degree related to finance and securities preferred
Successful completion of requisite courses (e.g., Canadian Securities Course) with 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 preferred
Sound knowledge of rules and regulations governing the securities industry
Proficiency in Microsoft Outlook, Excel, and Word
Experience operating in a Credit Union system and familiarity with Dataphile an asset
Excellent analytical and investigative skills with strong attention to detail
Excellent interpersonal, presentation, organizational, and time management skills
Disciplined work ethic and commitment to excellent work output
Ability to work with minimum supervision and strong commitment to customer service
Ability to travel to branch locations up to 25%; travel may increase in the future
Fluent communication skills in English required; bilingual French skills an asset

Benefits

Comp & perks

Competitive compensation package that rewards and recognizes individual contributions
Excellent health, dental and insurance benefits
Generous vacation time
Fitness benefit
Parental leave top-up options
Matching contributions to retirement program
Learning and development opportunities
Education assistance program
Regular social events
Hybrid work arrangement