CIRO Investment Dealer | Greater Toronto Area
Hiring: Ultimate Designated Person (UDP)
Keybase Financial Group & Argosy Securities
We are seeking an experienced securities industry leader to strengthen regulatory oversight, support sound governance, and promote a culture of integrity, accountability, and client care across our firms.
Five key qualifications
- Eligibility for OSC registration and applicable CIRO approval
Meet the proficiency, experience, and suitability requirements applicable to the UDP role. Previous
UDP approval is an asset; appointment is subject to regulatory approval.
- Proven senior leadership experience
Demonstrated executive responsibility within a Canadian securities dealer, preferably an
independent firm. Experience overseeing retail advisory businesses, dealer operations, and enterprise
risk is strongly preferred.
- Strong regulatory and compliance expertise
Thorough knowledge of NI 31-103, applicable CIRO rules, client-focused reforms, KYC/KYP,
suitability, conflicts of interest, supervision, and AML obligations.
- Governance and regulatory execution
Experience working with boards, CCOs, and regulators; overseeing examination responses and
remediation; and ensuring compliance functions have appropriate authority, resources, and follow-
through.
- Integrity, judgment, and collaborative leadership
A record of sound decisions, clear communication, and constructive challenge. Ability to support
CCOs, hold leaders accountable, and build trust with advisors and staff.
The opportunity
Help shape the next chapter of two independent Canadian financial services firms, combining strong regulatory stewardship with a practical, people-centred approach.
To express confidential interest: Please submit your résumé and a brief summary of your relevant leadership experience and registration history to :
careers@keybase.com
