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Keybase Financial Group

Chief Compliance Officer

Toronto, ON, Canada

Full-time

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Job details

Job type: Full-time
Apply by: Mar 7, 2027
Posting language: English
Posted: Sep 8, 2026

Original job description

CIRO Investment Dealer | Greater Toronto Area

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

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

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 strong governance, responsible growth and a modern compliance culture.

Our philosophy is simple: Good compliance is good for business.

Competitive executive compensation and benefits.

Confidential applications welcome

E-mail resume to careers@keybase.com

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More about this job

Responsibilities

Lead the firm's compliance and supervisory framework, ensuring adherence to CIRO and applicable securities regulations. Advise senior leadership and the Board on regulatory risk, oversee compliance activities and regulatory interactions, and develop the compliance team and a culture of accountability and investor protection.

Requirements

Requires senior compliance experience with a CIRO-regulated investment dealer, strong knowledge of Canadian securities regulation, and experience working directly with regulators. Candidates should demonstrate leadership, sound judgment, executive presence, and a pragmatic, collaborative approach, and must have current CCO approval or be able to meet CIRO approval requirements.

Skills

Regulatory Compliance
Compliance Oversight
Canadian Securities Regulation
CIRO Regulations
Regulatory Risk Management
Regulatory Examinations
Regulatory Reporting
Compliance Monitoring
Compliance Testing
Know Your Client (KYC)
Know Your Product (KYP)
Suitability
Anti-Money Laundering (AML)
Conflict Management
Team Leadership
Investor Protection

Benefits

Executive Compensation
Benefits

Visa sponsorship

Not detected in the job text

Keywords

CIRO
Investment Dealer
Canadian Securities Regulation
Chief Compliance Officer
Compliance Framework
Supervisory Framework
Regulatory Risk
Regulatory Examinations
Regulatory Inquiries
Regulatory Reporting
Compliance Monitoring
Compliance Testing
Complaints
Know Your Client (KYC)
Know Your Product (KYP)
Suitability
Anti-Money Laundering (AML)
Conflicts of Interest
CCO Approval
Investor Protection
Corporate Governance
Risk Management

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