Reports To: Chief Executive Officer (CEO)Position Summary The Chief Financial Officer (CFO) serves as a key member of the executive management team and is responsible for the overall financial management, strategic planning, and fiscal integrity of the firm. The CFO ensures compliance with CIRO financial and capital requirements, Canadian Securities Administrators (CSA) regulations, and applicable accounting and audit standards. This role requires both hands‑on oversight and strategic leadership in managing the firm’s financial performance, capital adequacy, and operational controls.Key Responsibilities Financial Leadership & StrategyLead financial planning, analysis, and strategy to support business objectives and profitability.Advise CEO and board on financial performance, trends, and risk management.Regulatory Reporting & ComplianceEnsure timely and accurate preparation of all CIRO‑mandated financial filings, including monthly and annual Financial Reports (F1/F2)
and Risk‑Adjusted Capital (RAC) calculations and monitoring.Maintain and monitor compliance with capital adequacy and liquidity standards.Liaise with CIRO examination staff, external auditors, and the firm’s compliance department.Ensure financial records and accounting systems comply with IFRS and CIRO Dealer Member Rules.Implement and oversee effective internal control frameworks and financial governance processes.Collaborate with the Chief Compliance Officer (CCO) and Chief Operations Officer (COO) to identify, assess, and mitigate financial and operational risks.Ensure appropriate documentation and testing of controls for audit and CIRO review.Treasury & Capital ManagementManage the firm’s liquidity, cash flow, and capital resources to ensure compliance with regulatory capital requirements.Provide oversight of