Become the Chief Compliance Officer for a prominent Canadian investment dealer. This senior leadership role is focused on scaling compliance operations in a dynamic industry.

We are collaborating with a wealth platform seeking a Chief Compliance Officer to join its executive leadership team. This high-visibility role requires leading the compliance function and ensuring CIRO regulatory adherence while partnering with leadership on strategic initiatives. You will drive compliance efficiency and mentor a dedicated compliance team as the organization grows.

Key Responsibilities:
• Lead firm-wide compliance programs and policies
• Ensure compliance with CIRO and securities regulations
• Provide insights on governance and risk issues
• Supervise audits,



regulatory reporting, and examinations
• Support operational growth and scalability initiatives

Requirements:
• Current CCO or equivalent senior compliance leader
• In-depth knowledge of investment dealer compliance
• Comprehensive understanding of CIRO, AML, and securities laws
• Proven experience in scalable compliance program enhancement
• Licensing completion in relevant compliance areas

Lead the charge in compliance leadership while fostering a growth-focused business setting.
#J-18808-Ljbffr

📌 Senior Compliance Executive with Investment Dealer (Ontario)
🏢 BJRC Recruiting
📍 Ontario