Chief Compliance Officer for Canadian Wealth Platform

Lead compliance as the Chief Compliance Officer for a growing Canadian wealth and investment platform. Drive adherence to CIRO and securities regulations within an entrepreneurial executive team.

This executive role is crucial for developing and overseeing the firm’s compliance programs while acting as a strategic partner. You will enhance governance structures, monitor regulatory changes, and manage compliance audits. Candidates should possess a senior background in investment dealer compliance and strong leadership skills.

Key Responsibilities:

• Oversee the company’s compliance framework and policies
• Ensure adherence to CIRO and regulatory requirements
• Provide guidance on governance and risk issues
• Manage compliance audits, reporting, and monitoring
• Support growth with strategic partnerships and initiatives

Requirements:

• Chief Compliance Officer experience in regulated environments
• Deep knowledge of securities regulations and compliance
• Excellent executive communication and leadership skills
• Proven ability to enhance compliance infrastructures
• Completion of necessary licensing for the role

Drive compliance excellence and regulatory adherence with strategic vision in a top-tier investment environment.

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