Are you a mid-level compliance professional ready to step into your first Chief Compliance Officer role? On behalf of our client—an established independent Canadian Portfolio Manager specializing in group retirement and pension solutions,we are seeking an ambitious compliance leader with robust regulatory fundamentals. In this role, you will own the firm's compliance program, drive key operational processes, and lead upcoming regulatory enhancement projects (KYC/KYP/suitability).

Step Up to CCO: Direct pathway to assume CCO registration (subject to regulatory approval).

High Impact: Lead critical compliance and operational projects from strategy through execution.

Embedded Role: Exert real operational influence across Compliance, Operations, Finance, and external partners.

Compliance

Leadership & Governance Design, maintain, and monitor the firm's compliance program under Canadian securities legislation. Review and update the Compliance Manual, policies, and internal controls annually. Prepare regulatory and annual compliance reporting for the CEO, Board, and the OSC.

Serve as project lead for enhancements to Know Your Client (KYC), Know Your Product (KYP), and suitability workflows.



Work cross-functionally to translate regulatory requirements into clear, scalable operational processes. Monitoring, Testing & Controls Conduct risk-based reviews across advisory, trading, personal trading, conflicts of interest, and marketing.

Identify control gaps, recommend practical remediation, and track progress through action logs. Operations & Regulatory Oversight Coordinate key recurring regulatory, tax, CDIC, and client deliverables with Finance and external vendors. Oversee complaint handling, business continuity, and third-party risk governance.

Experience: ~3–7 years in Canadian securities compliance, wealth management, or Portfolio Manager environments.

Regulatory Knowledge: Solid foundation in Canadian securities regulations and clear path toward CCO registration.

Key Skills: Strong project management, process documentation, analytical thinking, and executive communication. University degree in Business, Commerce, Law, Finance, or equivalent experience.

Asset: Familiarity with group retirement plans, pensions, or Capital Accumulation Plans (CAPs). #

📌 Director, Compliance Risk Management (Training) (Toronto)
🏢 Hunter Mercantile
📍 Toronto