CIRO Investment Dealer | Greater Toronto Area
Job Overview
We are seeking two experienced senior compliance professionals to fill the roles of Ultimate Designated Person (UDP) and Chief Compliance Officer (CCO). These individuals will provide regulatory leadership, independent oversight, and strategic guidance to senior management and the Board of Directors, ensuring the organization maintains strong compliance standards and effective regulatory governance.
These senior leadership positions are suited to experienced compliance professionals who possess strong regulatory expertise, sound judgment, and a practical, business-focused approach to compliance and risk management.
Applicants must currently be registered and approved by CIRO as a Chief Compliance Officer (CCO), and or Ultimate Designated Person (UDP).
KEY RESPONSIBILITIES
- Lead the firm's compliance and supervisory framework.
- Ensure compliance with CIRO and applicable securities regulations.
- Manage regulatory examinations, inquiries and reporting.
- Oversee monitoring, testing, complaints, KYC/KYP,
suitability, AML and conflicts.
- Advise the President and Chief Operating Officer (COO)
IDEAL CANDIDATE
- Senior compliance experience with a CIRO-regulated investment dealer.
- Experience working directly with regulators.
- Demonstrated leadership, judgment and executive presence.
- Pragmatic, collaborative and solutions-oriented.
THE OPPORTUNITY
Join an established reliable Independent Canadian financial services organization committed to strong governance, responsible growth and a compliance culture.
Our philosophy is simple: Good compliance is good for business.
Competitive executive compensation and perks.
Confidential applications welcome to
[email protected]
Pay: $135,000.00 per year
Ability to commute/relocate:
- Richmond Hill, ON L4B 4C6: reliably commute or plan to relocate before starting work (required)
Work Location: Hybrid remote in Richmond Hill, ON L4B 4C6
📌 Senior Compliance Officer (Richmond Hill)
🏢 Keybase Financial Group
📍 Richmond Hill