We are partnering with a growing Canadian wealth and investment platform seeking a Chief Compliance Officer (CCO) to join its executive leadership team. This is a highly visible leadership role within an entrepreneurial and evolving investment dealer environment focused on scaling operations, strengthening governance, and supporting continued business growth.
The successful candidate will be responsible for leading and enhancing the organization’s compliance framework, ensuring adherence to CIRO requirements and applicable securities regulations while acting as a strategic business partner to senior leadership.

• Lead and oversee the firm’s overall compliance program, policies, and procedures


• Ensure compliance with CIRO and applicable securities regulatory requirements


• Provide guidance on regulatory, governance, and risk-related matters across the business


• Oversee compliance monitoring, regulatory reporting, audits, and examinations


• Support the organization’s continued growth and operational scalability






• Partner with leadership on strategic initiatives, new products, and process improvements


• Manage and mentor members of the compliance team


• Review marketing materials, sales practices, and business initiatives from a compliance perspective

• Current Chief Compliance Officer (or equivalent senior compliance leader) within a CIRO-regulated investment dealer environment


• Deep knowledge of investment dealer compliance, including managed and advisory accounts


• Robust understanding of CIRO requirements, AML, and securities regulations


• Experience building or enhancing scalable compliance programs and infrastructure


• Proven leadership capabilities with strong executive presence and communication skills


• Ability to operate as a pragmatic, business-oriented compliance partner


• Completion of CSC, CPH, PDO/BM, and CCO licensing requirements

REF#LI1696