Chief Compliance Officer

Interim Chief Compliance Officer (OSC Regulated)

Location: Markham, Ontario (5 days in office)

A growing, globally focused wealth management and multi-family office is seeking a Chief Compliance Officer (CCO) to lead its compliance and regulatory function. This senior, high-impact role holds direct responsibility for securities regulatory reporting, audits, and the ongoing management of the firm’s compliance program.

The CCO will work closely with senior leadership to foster a strong culture of compliance, risk management, and operational excellence—ensuring regulatory obligations are met while supporting efficient and scalable business operations. This is a highly practical, hands-on role suited to a candidate who can operate effectively at both the strategic and execution levels.

* This is an interim CCO opportunity, intended to transition to a fully OSC-regulated role once registration requirements are met.*

• Serve as the firm’s designated CCO, leading regulatory filings, audits, examinations, and communications with securities regulators.
• Report material compliance matters to the Ultimate Designated Person (UDP) and prepare periodic and annual compliance reports for senior leadership and the board.
• Oversee the supervision framework for registered individuals, including training, monitoring, issue escalation, and remediation.
• Design, implement, and continuously enhance the firm’s compliance framework, including policies, procedures, controls, and monitoring programs.
• Ensure compliance with applicable securities legislation, including conflicts of interest, AML, KYP and suitability, privacy, client disclosure, recordkeeping, outsourcing oversight, and complaint handling.
• Monitor regulatory developments and assess their impact on the firm’s business, policies, and controls, implementing changes as required.
• Maintain direct access to senior management and the board on compliance matters, with authority to escalate significant issues.
• Ensure compliance documentation and records are complete, current, and audit-ready.
• Conduct compliance monitoring, testing, and risk assessments to proactively identify and mitigate risks.
• Promote a strong culture of compliance through ongoing training, guidance, and support across the organization.

• Meets, or is eligible to meet, the proficiency requirements for registration as a Chief Compliance Officer under NI 31-103 and is able to register within a reasonable timeframe.
• Prior experience as a CCO or in a senior compliance role with direct regulatory reporting, audits, and regulator interaction.
• Demonstrated ability to build, manage, and operationalize compliance programs, including policy development and audit readiness.
• Comfortable performing hands-on operational compliance work, not solely oversight or delegation.
• Strong judgment, integrity, and attention to detail, with a practical, solutions-oriented approach.
• Effective collaborator with the ability to work across diverse teams and client groups.