We are partnering with a growing Canadian wealth and investment platform seeking a Chief Compliance Officer (CCO) to join its executive leadership team. This is a highly visible leadership role within an entrepreneurial and evolving investment dealer setting focused on scaling operations, strengthening governance, and supporting continued business growth.

The successful candidate will be responsible for leading and enhancing the organization’s compliance framework, ensuring adherence to CIRO requirements and applicable securities regulations while acting as a strategic business partner to senior leadership.

Key Responsibilities
Lead and oversee the firm’s overall compliance program, policies, and procedures
Ensure compliance with CIRO and applicable securities regulatory requirements
Provide guidance on regulatory, governance, and risk-related matters across the business
Oversee compliance monitoring, regulatory reporting, audits, and examinations
Support the organization’s continued growth and operational scalability




Partner with leadership on strategic initiatives, recent products, and process improvements
Manage and mentor members of the compliance team
Review marketing materials, sales practices, and business initiatives from a compliance perspective

Ideal Background
Current Chief Compliance Officer (or equivalent senior compliance leader) within a CIRO-regulated investment dealer environment
Deep knowledge of investment dealer compliance, including managed and advisory accounts
Solid understanding of CIRO requirements, AML, and securities regulations
Experience building or enhancing scalable compliance programs and infrastructure
Proven leadership capabilities with strong executive presence and communication skills
Ability to operate as a pragmatic, business-oriented compliance partner
Completion of CSC, CPH, PDO/BM, and CCO licensing requirements

REF#LI1696

📌 Chief Compliance Officer Toronto (Canada)
🏢 BJRC Recruiting
📍 Canada