CIRO Investment Dealer | Greater Toronto Area

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.
- Robust 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 OPPORTUNITY

Join an established Independent Canadian financial services organization committed to strong governance, responsible growth and a modern compliance culture.

Our philosophy is simple: Good compliance is good for business.

Competitive executive compensation and benefits.

Confidential applications welcome

E-mail resume to

📌 Chief Compliance Officer - mississauga
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