We are seeking an experienced Chief Compliance Officer to provide regulatory leadership, independent oversight and strategic advice to senior management and the Board.
This is a senior leadership role for a compliance professional who combines strong regulatory knowledge, sound judgment and a pragmatic business perspective.
KEY RESPONSIBILITIES
Lead the firm's compliance and supervisory framework.
Ensure compliance with CIRO and applicable securities regulations.
Advise the President/UDP, senior management and Board on regulatory risk.
Manage regulatory examinations, inquiries and reporting.
Oversee monitoring, testing, complaints, KYC/KYP, suitability, AML and conflicts.
Lead and develop the compliance team.
Strengthen a culture of accountability, prudent risk management and investor protection.
IDEAL CANDIDATE
Senior compliance experience with a CIRO-regulated investment dealer.
Strong knowledge of Canadian securities regulation.
Experience working directly with regulators.
Demonstrated leadership, judgment and executive presence.
Pragmatic, collaborative and solutions-oriented.
Current CCO approval or ability to satisfy applicable CIRO approval requirements.
THE CHANCE Join an established Independent Canadian financial services organization committed to solid governance, responsible growth and a modern compliance culture.
Our philosophy is simple: Valuable compliance is good for business.
Competitive executive compensation and benefits.
Confidential applications welcome
Pay: $135,000.00 per year
Ability to commute/relocate
Richmond Hill, ON: reliably commute or plan to relocate before starting work (preferred)
Work Location: In person
📌 Chief Compliance Officer Cco Richmond Hill
🏢 Keybase Financial Group Inc/Argosy Securities
📍 Richmond Hill
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