Aviso Wealth :
A career with Aviso Wealth means being part of an organization dedicated to your success and career development. It means belonging to a group of talented, energetic professionals who live their values every day.
Our amazing people and dynamic culture set Aviso Wealth apart. If you’re looking for interesting and challenging work, at a company committed to its people, find out more about what Aviso Wealth has to offer.
The Opportunity :
We’re looking for an Insurance Compliance Officer to join our Compliance team.
Reporting to the Manager, Insurance Compliance, the Insurance Compliance Officer will work closely with the Manager to implement, maintain and administer Aviso Wealth’s insurance compliance program.
Who you are :
You take initiative, seeking out and owning opportunities to improve yourself, your team, and our business
You’re comfortable in a fast-paced environment, maintaining a keen attention to detail even when under pressure
You thrive in a collaborative environment, sharing your knowledge with your colleagues, and celebrating success as a team
You’re a life-long learner, staying current on market events, industry news, and innovative trends and technologies
You believe in sustainable financial strength, and you’re committed to long-term wealth solutions.
You consider the impact of your actions on your team members, our partners, our clients, and the places where we live and work
What your day looks like :
Assist in the implementation, maintenance and administration of the insurance compliance program
Develop and maintain subject matter expertise in all regulatory requirements & expectations impacting Aviso’s insurance business
Provide compliance support and guidance to business colleagues, insurance advisors and business partners
Schedule and conduct the MGA Compliance Review Survey (CRS) to assess the performance of the compliance functions carried out by our partners’ agencies
Assist in completion of required insurance desk audits, as needed
Coordinate and perform risk assessment, monitoring, and testing activities to ensure Aviso’s insurance business activities adhere to internal policy and regulatory requirements
Identify material regulatory risks pertaining as well as potential enhancements with respect to Aviso’s insurance compliance program and recommend appropriate controls to the appropriate stakeholders
Escalate material compliance issues to management to ensure prompt and appropriate resolution
Ascertain advisor and other stakeholder training needs and develop training needs and assist in development and delivery of appropriate training
Assist in providing compliance guidance and support for insurance agency set-ups, which may include review & approval of floorplans, marketing materials, business forms, as well as compliance training for insurance advisors
Other duties or projects as assigned
Your experience and skills :
Minimum of 4 years of experience in the life insurance industry, preferably in a compliance capacity
Industry Designations Preferred : CFP (Certified Financial Planner), CLU (Chartered Life Underwriter), CHS (Certified Health Insurance Specialist)
Working knowledge of Individual / Group Life Insurance, Annuities, and Segregated Funds products and processes
Strong knowledge / understanding of Canadian insurance regulatory environment : Federal and provincial Insurance and Credit Union acts and regulations, Proceeds of Crime (Money Laundering) and Terrorist Financing Act, Personal Information Protection and Electronic Documents Act (PIPEDA) as well as other Privacy Legislations, and CLHIA’s Industry Guidelines (specifically Guidelines G2, G3, G8, and G18)
Able to operate effectively in a highly regulated, yet dynamic environment
Ability to work with and keep confidential sensitive materials, situations and people
Ability to work independently and carry out assignments to their completion
Strong organization and time management skills
Strong analytical skills. Data mining and reporting skills are an asset
Strong oral and written communication skills
Excellent interpersonal skills
At Aviso, you’ll find a dynamic, entrepreneurial culture that rewards innovation and celebrates success. We offer a competitive compensation package, career enrichment, and regular social events to foster teamwork.
Aviso Wealth 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 Wealth is a national, integrated financial services company, with approximately $65 billion in assets under administration and management .
Aviso is owned by Credit Union Centrals, CUMIS and Desjardins. Our MFDA-regulated dealer, full-service IIROC-regulated brokerage, and insurance dealer support thousands of financial advisors at hundreds of credit unions across Canada.
Our award-winning online brokerage, Qtrade Investor, and our digital advice platform, VirtualWealth, give Canadians flexible choices for building their wealth.
Our asset manager, NEI Investments, is a Canadian leader in Responsible Investment funds and portfolios, which are available through a national network of advisors.
Aviso also provides custodial services and introducing broker services to independent financial organizations, including banks, trust companies, insurance companies, investment dealers, portfolio managers and financial planning firms.
Aviso has major operations in Vancouver and Toronto, along with regional offices across Canada. More information about Aviso Wealth is available at