Chief Compliance Officer (CCO)

About the Company

Innovative financial services company

Industry
Financial Services

Type
Privately Held, VC-backed

Founded
1999

Employees
1001-5000

Categories

- Financial Services
- Investment Banking
- Securities
- Finance
- Brokerage
- Investing
- Consulting & Professional Services
- Brokerages

Specialties

- brokerage
- stocks
- options
- forex
- gold
- tax free savings accounts
- and registered accounts

About the Role

The Company is seeking a Chief Compliance Officer (CCO) to join their dynamic team. The CCO will be responsible for the strategic design, implementation, and maintenance of a comprehensive compliance program across all aspects of the organization's brokerage operations. This includes ensuring compliance with all applicable laws, regulations, industry standards, and internal policies. The successful candidate will also hold the critical position of Chief Anti-Money Laundering Officer, managing key compliance programs related to AML/ATF, customer complaints resolution, and code of conduct initiatives. Key responsibilities for the CCO include compliance and regulatory oversight, team leadership, and AML/ATF compliance program leadership.



The role demands a results-oriented executive with a robust background in compliance, legal, capital markets, and regulatory roles, particularly within a brokerage environment.

The ideal candidate for the CCO position at the company will have over 10 years' of leadership experience in relevant fields, a post-secondary degree in law, business administration, or a related field, and a strong understanding of investment dealer and wealth management environments. They should be adept at navigating complex, build-focused environments, and have a proven track record of driving material change and process improvements. The CCO will be expected to be a confident, articulate leader, capable of balancing strategic foresight with tactical execution, and managing competing priorities in a highly entrepreneurial setting. Strong technical skills, project management abilities, and a passion for staying informed of industry and legislative developments are essential. The role also requires the candidate to be currently registered, or qualified to register, as a CCO (Investment Dealer) with CIRO.

Hiring Manager Title
President

Functions

- Finance

📌 Chief Compliance Officer (CCO) (Toronto)
🏢 Confidential
📍 Toronto