Executive Compliance Leader in Wealth Management

Become the Chief Compliance Officer at an innovative Canadian investment platform, leading compliance efforts in a fast-evolving environment. Drive governance, regulatory strategies, and operational scalability.

In this vital leadership role, you will enhance the compliance framework while ensuring adherence to CIRO and securities regulations. Acting as a strategic business partner, you will collaborate with senior executives on key initiatives, product launches, and compliance solutions. Candidates should have significant experience in investment dealer compliance.

Key Responsibilities:

• Lead the compliance program, policies, and procedures

• Ensure adherence to CIRO and securities regulations

• Guide on risk-related business matters

• Oversee regulatory audits and compliance monitoring

• Collaborate on strategic initiatives and enhancements

Requirements:

• Current CCO or equivalent in a regulated investment dealer

• Comprehensive understanding of compliance regulations

• Leadership experience with strong communication skills

• Proven track record in building scalable compliance programs

• Relevant licensing requirements completed

Shape the future of compliance in wealth management with strategic leadership and governance.
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