Associate Director Compliance CIRO Dealer

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.