Lead CIRO compliance operations at Steadyhand Investment Funds Inc., using risk-based monitoring, testing, and regulatory judgment in a hybrid work model. As Associate Director, Compliance, you will manage the day-to-day program for a CIRO-regulated mutual fund dealer. Reporting to the Chief Compliance Officer, you will lead compliance resources and support monitoring, branch reviews, registrations, complaints, governance reporting, examinations, policy management, and regulatory change. The role combines technical expertise, people leadership, program management, and business partnership. Key Responsibilities:
Manage the annual compliance plan, calendar, risk assessment, and testing framework Oversee monitoring, branch reviews, Operations-control reviews, and remediation validation Lead registration, licensing, continuing education, complaints, and regulatory reporting Coordinate CIRO examinations, regulatory reviews, document production, and deficiency responses Develop dashboards, policies, training, and governance materials for senior management Requirements:
University degree in business, finance, law, commerce, economics, or related discipline Five to ten or more years’ progressive regulated financial services compliance experience Strong knowledge of CIRO Mutual Fund Dealer requirements and Canadian securities legislation Experience managing examinations, compliance reviews, remediation, and complex regulatory matters Strong leadership, judgment, communication, project management, and change capabilities Bring CIRO dealer compliance, monitoring, regulatory reporting, and people leadership expertise to Steadyhand’s operational compliance function.
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Associate Director Compliance CIRO Dealer in Toronto employer: Purpose
Purpose Unlimited is an exceptional employer that prioritizes innovation and a people-first culture, making it an ideal place for the Associate Director, Compliance role. With a flexible hybrid work model, competitive compensation, comprehensive health benefits, and a strong commitment to employee development, you will thrive in an environment that values your contributions and supports your career growth. Join us in our mission to provide meaningful financial services while enjoying a rewarding work-life balance in a dynamic team setting.
