Job Overview

We are seeking an individual for the position of Compliance Supervisor (Corporate Branch Manager) with a CIRO investment dealer member. The successful candidate will be able to work in a rapid-paced environment and perform their duties under minimal supervision

Only candidates who have previously worked for a minimum of two years with a CIRO dealer (or a former IIROC or MFDA dealer) will be considered.

What You'll Do

- Conducting trade reviews and assessing suitability, KYC and client-risk concerns.
- Monitoring branch compliance activities and following up on identified issues.
- Working directly with Investment Advisors to resolve compliance matters.
- Other duties as assigned

What We're Looking For

- Minimum 2 years of securities compliance experience, preferably within an investment dealer or similar regulated financial services environment.




- Currently or previously registered as a CIRO Supervisor of RRs or as a Supervisor designated to be responsible for the opening of new accounts and account supervision.
- Strong knowledge of Canadian securities regulations, CIRO requirements and investment dealer compliance.
- Completion of the CIRO 2026 Supervisor Exam or enrollment in CSI's Investment Dealer Supervisor Course (IDSC) prior to December 31, 2025. The IDSC must have been completed within the previous 36 months.

If you're looking for a role where your experience, ideas and judgment will be valued, we'd like to hear from you.

Pay: $65,000.00-$75,000.00 per year

Ability to commute/relocate:

- Richmond Hill, ON L4B 4C6: reliably commute or plan to relocate before starting work (required)

Experience:

- with a CIRO dealer (or a former IIROC or MFDA dealer).: 2 years (required)

Work Location: In person

📌 Compliance Supervisor (Richmond Hill)
🏢 Argosy Securities
📍 Richmond Hill