Position ScheduleFull‑TimeJob OverviewAs Director, Compliance you will oversee the compliance framework across the organization, ensuring adherence to regulatory requirements, internal policies, and ethical standards. The role includes strategic leadership, risk management, and collaboration with senior leadership to maintain a culture of compliance. It is a registered supervisor role with the Canadian Investment Regulatory Organization (CIRO), responsible for supervision (Tiers 1 & 2) and compliance programs.Primary ResponsibilitiesDefine the strategic plan for compliance and supervision. Provide leadership and direction for developing new programs, revising existing ones, and aligning them with the firm's business model and evolving industry requirements.Represent the division in planning, designing, and implementing firm‑wide projects to ensure regulatory and firm‑policy compliance. Ensure current product and service implementations have the necessary controls in place.Oversee and execute the compliance and/or supervision program, including, but not limited to:Registrations and licensingBranch auditTrade desk complianceMarketing complianceConflicts of interestField supervision and surveillanceGeneral compliance supportLeadership and development of teamsParticipation on firm, division, and industry committeesCompensationHiring minimum: $134,400. Hiring maximum: $228,800. Compensation typically includes base salary, bonuses, profit sharing,



and benefits.Skills / RequirementsUndergraduate university degree required.Canadian Securities Course and Conduct and Practices Handbook Exam mandatory and must be current at time of hire.Partners, Directors, and Senior Officers exam to be completed within three months of hire.10+ years of relevant compliance and/or regulatory experience with a minimum of five years in a leadership role.Industry experience with demonstrated knowledge of regulatory obligations and expectations.Key Behaviors and CompetenciesAbility to interpret and apply Canadian securities laws and CIRO regulations to operations.Ability to identify, assess, and mitigate compliance risks.Experience leading and managing a compliance team, mentoring and developing staff.Analytical skills to assess complex regulatory information and business processes.Commitment to continuous learning and development.Execution skills from development to implementation.Empathetic leadership fostering a collaborative and inclusive environment.Independent decision‑making capability.Strong organizational and project management skills.Adaptability to changing regulatory and business environments.Rapid development of expertise in high‑risk areas across functions.Excellent written and verbal communication capabilities.Creative problem‑solving and innovation.Ability to navigate complex organizational initiatives.EEO StatementEdward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.#J-18808-Ljbffr

📌 Director - Compliance - C$134,400 - C$228,800 A Year (Toronto)
🏢 Edward Jones
📍 Toronto