Become the Chief Compliance Officer for a prominent Canadian investment dealer. This senior leadership role is focused on scaling compliance operations in a agile 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 workplace.#J-18808-Ljbffr