Archived listing. The details below describe a past opening.
CIRO Investment Dealer | Greater Toronto AreaWe 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 OPPORTUNITYJoin 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 [email protected]
