Senior Compliance Officer
- Toronto, ON, Canada
Full-time
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Job details
- Job type
- Full-time
- Apply by
- Posting language
- English
- Posted
Original job description
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
More about this job
Responsibilities
Provide senior regulatory oversight and sound governance across two independent Canadian financial services firms, promoting integrity, accountability, and client care. Work with boards, Chief Compliance Officers, regulators, and business leaders to oversee regulatory examinations and remediation, support compliance functions, and hold leaders accountable.
Requirements
Candidates must meet the proficiency, experience, suitability, and regulatory approval requirements for the Ultimate Designated Person role, with prior UDP approval considered an asset. They should bring senior leadership experience in a Canadian securities dealer and strong knowledge of securities regulation, CIRO rules, client-focused reforms, supervision, and anti-money laundering obligations.
Skills
- Regulatory Compliance
- Securities Regulation
- Executive Leadership
- Governance
- Enterprise Risk Management
- CIRO Rules
- NI 31-103
- KYC/KYP
- Suitability Assessment
- Conflict of Interest Management
- Supervision
- Anti-Money Laundering
- Regulatory Examinations
- Remediation
- Board Relations
- Collaborative Leadership
Visa sponsorship
Not detected in the job text
Categories
- Finance & Accounting
- Management & Leadership
- Legal
Keywords
- Ultimate Designated Person
- UDP
- OSC Registration
- CIRO Approval
- Canadian Securities Dealer
- Retail Advisory Business
- Dealer Operations
- Enterprise Risk
- NI 31-103
- CIRO Rules
- Client-Focused Reforms
- KYC/KYP
- Suitability
- Conflicts Of Interest
- Supervision
- Anti-Money Laundering
- Regulatory Oversight
- Corporate Governance
- Regulatory Examinations
- Remediation
- Chief Compliance Officer
- Board Relations
- Regulatory Approval
- Client Care