Designed Securities Ltd. is a truly independent investment dealer and member of the Canadian Investment Regulatory Organization (CIRO). Our company is uniquely positioned to provide support driven by the needs of advisors. We design customized experiences for advisors and clients and have integrated Fintech that is based on real feedback, a culture of inclusion and progressive thinking. Our goal is to help evolve an advisor’s practicein light ofFintech, regulatory framework, and client needs. We are not controlled by any larger institutions and have the flexibility to serve our advisors and develop our team members in ways that are meaningful andlong-lasting. Team members areprovided withautonomy and authority to make decisions that drive the firmforwardand we createanunmatched experience for our advisors. We are unique, motivated, and designed to do great – at work and in life.CULTURE AND VALUESWe know that happy team members make all the difference in keeping advisors, and their clients, happy. Our culture is built on the pillars of inclusion, collaboration, accountability, and self-awareness. What excites us is seeing a group of talented people drawing on each other’s strengths, taking responsibility for making things happen, and contributing their voices and ideas to continue to design who we are. We are incredibly ambitious as an organization and seek people who are excited to commit to this opportunity.ABOUT THE ROLEWe are looking for a Chief Compliance Officer (CCO) to lead and strengthen our compliance program, governance framework, supervisory controls, and regulatory obligations. This role is ideal for a hands-on compliance leader who can build credibility quickly, influence business partners, and guide the organization through sound judgement, clear communication, and consistent follow-through.As CCO, you will have practical regulatory knowledge, excellent time management, and the ability to earn trust across the business. The CCO will act as a strategic advisor to senior leadership, and work collaboratively with the firm’s advisors, and maintain a strong culture of compliance, ethical conduct, client protection, and regulatory accountability. This role requires someone who can influence others, build trusted relationships, establish clear governance routines, and balance strategic priorities with day-to-day execution within a fast-paced, regulated environment.WHAT YOU’LL DOLead the development,



implementation, and enhancement of the firm’s compliance program, policies, procedures, and controlsOversee compliance with applicable securities laws, investment industry regulations, internal policies, and regulatory guidanceProvide practical, business-minded compliance advice to senior leadership, advisors, supervisors, operations, trading, and client-facing teamsPromote a culture of compliance, accountability, client-first conduct, and ethical decision-makingIdentify compliance risks, elevate material issues, and drive timely corrective actionServe as a key liaison with regulators, external auditors, legal counsel, and other stakeholders as requiredEstablish governance routines, including reporting, escalation, issue tracking, and follow-up mechanismsPrepare clear reporting for senior management, the Ultimate Designated Person, the board, or relevant governance committeesEnsure compliance documentation is current, well-organized, and aligned with business activities and regulatory expectationsLead or support regulatory examinations, inquiries, filings, training, and remediation activitiesDesign and deliver compliance training that is practical, relevant, and understood by team members and registered individualsLEADERSHIP AND GOVERNANCEAct as a trusted leader who can influence others without relying solely on authorityBuild strong working relationships across the firm so team members view compliance as a valued business partnerDemonstrate sound judgement, integrity, discretion, and confidence when addressing complex or sensitive issuesEstablish explicit governance routines, including reporting, escalation, issue tracking, and follow-up mechanismsBalance strategic priorities with day-to-day execution, ensuring critical deadlines and regulatory commitments are metCommunicate expectations clearly and hold teams accountable in a fair, consistent, and constructive mannerEarn the trust of advisors, team members, and leadership by being knowledgeable, responsive, objective, and solutions-orientedWHAT YOU BRINGExperience in compliance,



supervision, risk, audit, legal, operations, or a related function within an investment brokerage, investment dealer, wealth management firm, or financial services environmentStrong understanding of securities regulations, dealer obligations, compliance controls, and supervisory expectationsExperience developing or maintaining policies, procedures, monitoring programs, issue logs, compliance reports, or governance materialsDemonstrated ability to identify risk, recommend practical solutions, and follow through to resolutionProven leadership capability, including the ability to guide, influence, coach, and gain the confidence of team members at all levelsExcellent time management and prioritization skills in a fast-paced environmentStrong written and verbal communication skills, with the ability to explain regulatory expectations clearly and practicallyHigh degree of professionalism, confidentiality, accountability, and ethical judgmentCompletion of the CIRO CCO exam or already registered as a CCOMinimum 5 years at an Investment Dealer and at least 3 years in a compliance roleWHY JOIN US?At Designed, we are independent, collaborative, and built to support advisors and clients in meaningful ways. We value inclusion, collaboration, accountability, and self-awareness. This is a newly created role with the opportunity to shape the compliance function, influence how the firm operates, and contribute directly to the continued evolution of our business.POSITION DETAILSThis is an active recruitment process for an existing, open vacancy within our organizationWe use AI in the screening of candidatesThis is an excellent opportunity to gain exposure to all aspects of an investmentdealer’s full complianceregime,and we are excited to hear from you.Thispostingwill remain open until a qualified candidate is hired. We thank all applicants who express an interest in this and other opportunities we have posted. We will be in touch with individuals whose profiles most closely match what is needed to be successful in this role.Designed Securities Ltd. is an equalemployer, and we are dedicated to fostering an inclusive and barrier-free work environment for all employees and candidates. We encourage all qualified candidates to apply. If accommodation isrequiredduring any stage of the recruitment process, please let us know.#J-18808-Ljbffr

📌 Chief Compliance Officer (Winnipeg)
🏢 Canadian wealth platform
📍 Winnipeg