Designed Securities Ltd. is a truly independent investment dealer and member of the Canadian Investment Regulatory Organization (CIRO). Our company is uniquely positioned to provide support driven by the needs of advisors. We design customized experiences for advisors and clients and have integrated Fintech that is based on real feedback, a culture of inclusion and progressive thinking.

Our goal is to help evolve an advisor’s practicein light ofFintech, regulatory framework, and client needs. We are not controlled by any larger institutions and have the flexibility to serve our advisors and develop our team members in ways that are meaningful andlong-lasting. Our culture is built on the pillars of inclusion, collaboration, accountability, and self-awareness.

What excites us is seeing a group of talented people drawing on each other’s strengths, taking responsibility for making things happen, and contributing their voices and ideas to continue to design who we are. We are looking for a Chief Compliance Officer (CCO) to lead and strengthen our compliance program, governance framework, supervisory controls, and regulatory obligations. This role is ideal for a hands-on compliance leader who can build credibility quickly, influence business partners, and guide the organization through sound judgement, clear communication, and consistent follow-through.

As CCO, you will have practical regulatory knowledge, excellent time management, and the ability to earn trust across the business. The CCO will act as a strategic advisor to senior leadership, and work collaboratively with the firm’s advisors, and maintain a strong culture of compliance,



ethical conduct, client protection, and regulatory accountability. Lead the development, implementation, and enhancement of the firm’s compliance program, policies, procedures, and controls Oversee compliance with applicable securities laws, investment industry regulations, internal policies, and regulatory guidance Provide practical, business-minded compliance advice to senior leadership, advisors, supervisors, operations, trading, and client-facing teams Promote a culture of compliance, accountability, client-first conduct, and ethical decision-making Identify compliance risks, elevate material issues, and drive timely corrective action Serve as a key liaison with regulators, external auditors, legal counsel, and other stakeholders as required Prepare clear reporting for senior management, the Ultimate Designated Person, the board, or relevant governance committees Ensure compliance documentation is current, well-organized, and aligned with business activities and regulatory expectations Lead or support regulatory examinations, inquiries, filings, training, and remediation activities Design and deliver compliance training that is practical, relevant,



and understood by team members and registered individuals Build strong working relationships across the firm so team members view compliance as a valued business partner Balance strategic priorities with day-to-day execution, ensuring critical deadlines and regulatory commitments are met Experience in compliance, supervision, risk, audit, legal, operations, or a related function within an investment brokerage, investment dealer, wealth management firm, or financial services workplace Strong understanding of securities regulations, dealer obligations, compliance controls, and supervisory expectations Experience developing or maintaining policies, procedures, monitoring programs, issue logs, compliance reports, or governance materials Demonstrated ability to identify risk, recommend practical solutions, and follow through to resolution Strong written and verbal communication skills, with the ability to explain regulatory expectations clearly and practically Must have completed the CIRO CCO exam or already registered as a CCO Minimum 5 years at an Investment Dealer and at least 3 years in a compliance role We value inclusion, collaboration, accountability, and self-awareness.

This is a newly created role with the opportunity to shape the compliance function, influence how the firm operates, and contribute directly to the continued evolution of our business. This is an excellent opportunity to gain exposure to all aspects of an investmentdealer's full compliance regime, and we are excited to hear from you. If accommodation is required during any stage of the recruitment process, please let us know. #

📌 Cco (Toronto)
🏢 Designed Wealth Management
📍 Toronto