Original job description
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.
Key ResponsibilitiesLead and oversee the firm’s overall compliance program, policies, and proceduresEnsure compliance with CIRO and applicable securities regulatory requirementsProvide guidance on regulatory, governance, and risk-related matters across the businessOversee compliance monitoring, regulatory reporting, audits, and examinationsSupport the organization’s continued growth and operational scalabilityPartner with leadership on strategic initiatives, new products, and process improvementsManage and mentor members of the compliance teamReview marketing materials, sales practices, and business initiatives from a compliance perspective
Ideal BackgroundCurrent Chief Compliance Officer (or equivalent senior compliance leader) within a CIRO-regulated investment dealer environmentDeep knowledge of investment dealer compliance, including managed and advisory accountsStrong understanding of CIRO requirements, AML, and securities regulationsExperience building or enhancing scalable compliance programs and infrastructureProven leadership capabilities with strong executive presence and communication skillsAbility to operate as a pragmatic, business-oriented compliance partnerCompletion of CSC, CPH, PDO/BM, and CCO licensing requirements
REF#LI1696
More about this job
Responsibilities
Lead and enhance the firm’s compliance program, ensuring adherence to CIRO requirements and applicable securities regulations while overseeing monitoring, reporting, audits, and examinations. Advise senior leadership on regulatory, governance, and risk matters; support growth initiatives; and lead and mentor the compliance team.
Requirements
Requires current experience as a Chief Compliance Officer or equivalent senior compliance leader at a CIRO-regulated investment dealer, with deep investment dealer compliance knowledge and understanding of CIRO, anti-money laundering, and securities regulations. Candidates should have experience building scalable compliance programs, strong leadership and communication skills, a pragmatic business-oriented approach, and the listed CSC, CPH, PDO/BM, and CCO licensing requirements.
Skills
- Compliance Program Leadership
- CIRO Regulatory Compliance
- Securities Regulations
- Investment Dealer Compliance
- Managed and Advisory Accounts
- Anti-Money Laundering
- Governance
- Risk Management
- Regulatory Reporting
- Compliance Monitoring
- Audits and Examinations
- Team Leadership and Mentoring
- Executive Communication
- Business Partnership
- Marketing and Sales Practice Review
Visa sponsorship
Not detected in the job text
Categories
- Legal
- Finance & Accounting
- Management & Leadership
Keywords
- Chief Compliance Officer
- CIRO
- Investment Dealer
- Securities Regulations
- Compliance Program
- Compliance Policies and Procedures
- Managed Accounts
- Advisory Accounts
- Anti-Money Laundering
- Governance
- Risk Management
- Compliance Monitoring
- Regulatory Reporting
- Audits
- Regulatory Examinations
- Strategic Initiatives
- New Products
- Process Improvement
- Marketing Materials
- Sales Practices
- CSC
- CPH
- PDO/BM
- CCO Licensing
