Job Description
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...