Chief Compliance Officer (CIRO)

Job summary

Lead and oversee the firm's overall compliance program, ensuring adherence to CIRO and securities regulatory requirements. Act as a strategic partner to senior leadership to support operational scalability and business growth.

Job details

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 ResponsibilitiesLead and oversee the firm’s overall compliance program, policies, and proceduresEnsure compliance with CIRO and applicable securities regulatory requirementsProvide guidance on regulatory, governance, and risk-related matters across the businessOversee compliance monitoring, regulatory reporting, audits, and examinationsSupport the organization’s continued growth and operational scalabilityPartner with leadership on strategic initiatives, new products, and process improvementsManage and mentor members of the compliance teamReview marketing materials, sales practices, and business initiatives from a compliance perspective Ideal BackgroundCurrent Chief Compliance Officer (or equivalent senior compliance leader) within a CIRO-regulated investment dealer environmentDeep knowledge of investment dealer compliance, including managed and advisory accountsStrong understanding of CIRO requirements, AML, and securities regulationsExperience building or enhancing scalable compliance programs and infrastructureProven leadership capabilities with strong executive presence and communication skillsAbility to operate as a pragmatic, business-oriented compliance partnerCompletion of CSC, CPH, PDO/BM, and CCO licensing requirements REF#LI1696

What you’ll do

Lead and oversee the firm's overall compliance program, ensuring adherence to CIRO and securities regulatory requirements. Act as a strategic partner to senior leadership to support operational scalability and business growth.

Requirements

Requires a current CCO or senior compliance leader from a CIRO-regulated investment dealer environment. Must possess completion of CSC, CPH, PDO/BM, and CCO licensing requirements.

Listed skills

• Organization · Preferred
• materials · Preferred
• Leadership · Preferred
• Attention to detail · Preferred
• Compliance · Preferred
• Sales · Preferred
• Process · Preferred
• Communication · Preferred
• Reporting · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Compliance Program Management
• CIRO Regulations
• Securities Law
• AML Compliance
• Regulatory Reporting
• Risk Management
• Governance
• Executive Leadership
• Audit Oversight
• Strategic Planning
• Mentorship
• Marketing Review

Job areas

• Legal
• Finance & Accounting
• Management & Leadership