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Closed listing

Keybase Financial Group

Senior Compliance Officer

Toronto, ON, Canada

Salary: $65,000–$80,000 per year · Full-time

This opening has closed.

The original listing is kept below for reference.

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About employer

Job details

Pay: Salary: $65,000–$80,000 per year
Job type: Full-time
Closing date: Nov 1, 2026
Experience: · Minimum 3 years of securities compliance experience, preferably within an investment dealer or similar regulated financial services environment.
Posting language: English
Posted: Oct 2, 2026

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Original job description

Archived listing. The details below describe a past opening.

Location: Richmond Hill, Ontario

Job Type: Full-Time, Permanent

Salary: $65,000–$80,000 per year

We are looking for an experienced Senior Compliance Officer who wants to take the next step in their career.

This is more than a trade-review position. You will be joining an independent investment dealer where you can take ownership of meaningful compliance responsibilities, work closely with senior management and Investment Advisors.

Why Join Us?

· Grow Your Career

· Have a Voice

· Work With People, Not Against Them

· Maintain Work-Life Balance

What You'll Do

As a Senior Compliance Officer, you will be an important member of our compliance team with responsibility for helping the firm identify, manage and resolve regulatory and client-related risks.

Your responsibilities will include:

· 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.

What We're Looking For

· Minimum 3 years of securities compliance experience, preferably within an investment dealer or similar regulated financial services environment.

· Strong knowledge of Canadian securities regulations, CIRO requirements and investment dealer compliance.

· Previous securities registration or Investment Advisor experience is considered a strong asset.

Build the Next Stage of Your Compliance Career

This position is well suited to someone who has already developed a strong foundation in investment compliance and is ready for more responsibility, greater involvement and an opportunity to contribute beyond routine compliance reviews

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

About employer

More about this job

Responsibilities

Conduct trade reviews and assess suitability, KYC, and client-risk concerns. Monitor branch compliance activities, follow up on issues, and work with Investment Advisors to resolve compliance matters and manage regulatory and client-related risks.

Requirements

Requires at least three years of securities compliance experience, preferably at an investment dealer or in a similar regulated financial services environment. Strong knowledge of Canadian securities regulations, CIRO requirements, and investment dealer compliance is required; securities registration or Investment Advisor experience is an asset.

Skills

Securities Compliance
Canadian Securities Regulations
CIRO Requirements
Trade Reviews
Suitability Assessment
Know Your Client (KYC)
Client Risk Assessment
Branch Compliance Monitoring
Regulatory Risk Management
Client-Related Risk Management
Compliance Issue Resolution
Investment Dealer Compliance
Investment Advisor Relations

Visa sponsorship

Not detected in the job text

Keywords

Securities Compliance
Investment Dealer
Financial Services
Canadian Securities Regulations
CIRO
Trade Reviews
Suitability
Know Your Client (KYC)
Client Risk
Branch Compliance
Regulatory Risk
Client-Related Risk
Investment Advisors
Securities Registration
Compliance Monitoring
Issue Resolution

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