At a Glance
- Tasks: Lead compliance programs and ensure adherence to CIRO regulations in a dynamic investment environment.
- Company: Growing Canadian wealth and investment platform with an entrepreneurial spirit.
- Benefits: Competitive salary, leadership role, and opportunities for professional growth.
- Other info: Be part of a collaborative culture focused on scaling operations and business growth.
- Why this job: Join an executive team and make a significant impact on compliance and governance.
- Qualifications: Experience as a Chief Compliance Officer or senior compliance leader in investment dealing.
The predicted salary is between 121500 - 148500 $ per year.
We are partnering with a growing Canadian wealth and investment platform seeking a Chief Compliance Officer (CCO) to join its executive leadership team. This is a highly visible leadership role within an entrepreneurial and evolving investment dealer environment focused on scaling operations, strengthening governance, and supporting continued business growth.
The successful candidate will be responsible for leading and enhancing the organization’s compliance framework, ensuring adherence to CIRO requirements and applicable securities regulations while acting as a strategic business partner to senior leadership.
Key Responsibilities
- Lead and oversee the firm’s overall compliance program, policies, and procedures
- Ensure compliance with CIRO and applicable securities regulatory requirements
- Provide guidance on regulatory, governance, and risk-related matters across the business
- Oversee compliance monitoring, regulatory reporting, audits, and examinations
- Support the organization’s continued growth and operational scalability
- Partner with leadership on strategic initiatives, new products, and process improvements
- Manage and mentor members of the compliance team
- Review marketing materials, sales practices, and business initiatives from a compliance perspective
Ideal Background
- Current Chief Compliance Officer (or equivalent senior compliance leader) within a CIRO-regulated investment dealer environment
- Deep knowledge of investment dealer compliance, including managed and advisory accounts
- Strong understanding of CIRO requirements, AML, and securities regulations
- Experience building or enhancing scalable compliance programs and infrastructure
- Proven leadership capabilities with strong executive presence and communication skills
- Ability to operate as a pragmatic, business-oriented compliance partner
- Completion of CSC, CPH, PDO/BM, and CCO licensing requirements
Chief Compliance Officer in Toronto employer: BJRC Recruiting
As a growing boutique professional services firm located in Markham, we pride ourselves on our entrepreneurial culture and strong client relationships. Our close-knit team fosters a collaborative environment where talented individuals can make a meaningful impact, drive process improvements, and shape the future of the business. We offer competitive benefits, opportunities for professional growth, and a chance to be a key player in modernizing our operations while enjoying a supportive work culture.
