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.
Key Responsibilities
- 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
Ideal Background
- 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
- Strong 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
Additional Information
- Hybrid work model (4 days in office)
- Competitive executive compensation package
- Opportunity to join a growing and evolving organization at a pivotal stage of development