CIRO Investment Dealer | Greater Toronto Area

Job Overview

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 an experienced compliance professional who combines strong regulatory knowledge, sound judgment, and a pragmatic business perspective.

Applicants must currently be registered or approved as a Chief Compliance Officer (CCO) with CIRO.

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
Must currently be registered or approved as a CCO with CIRO.




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 OPPORTUNITY

Join an established Independent Canadian financial services organization committed to solid governance, responsible growth and a up-to-date 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 (required)

Work Location: In person

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