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.

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