We are partnering with a growing Canadian wealth and investment platform seeking a Chief Compliance Officer (CCO) to join its executive leadership team. 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.

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

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

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

Strong understanding of CIRO requirements, AML, and securities regulations

Experience building or enhancing scalable compliance programs and infrastructure

Ability to operate as a pragmatic, business-oriented compliance partner

Completion of CSC, CPH, PDO/BM, and CCO licensing requirements #

📌 Director, Compliance Risk Management (Training) (Toronto)
🏢 BJRC Recruiting
📍 Toronto