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Chief Compliance Officer

BJRC Recruiting - 13 Jobs
Vancouver, BC
Posted 2 days ago
Job Details:
Full-time
Management

Chief Compliance Officer

Our Client

  • A rapidly growing, independent financial firm offering comprehensive financial services across various sectors and geographies.

Responsibilities

  • Lead compliance efforts for CIRO-registered broker-dealer operations, ensuring adherence to legal, regulatory, and industry standards.
  • Oversee compliance with Canadian financial regulations, including AML, KYC, and UMIR.
  • Manage CIRO broker-dealer reporting and supervise sales and trading activities.
  • Develop and implement compliance policies and strategies.
  • Facilitate interactions with regulatory bodies and manage broker relationships.
  • Ensure compliance training and awareness across the organization.

Our Client

  • At least 5 years of experience in compliance or risk management within financial services.
  • Familiarity with CIRO broker-dealer requirements, NRD, and back-office systems.
  • Completion of Chief Compliance Officer qualifying exams (PDO, Supervisor).
  • Strong leadership, communication, and organizational skills.
  • Bachelor's degree in finance, business, or law is preferred.
This position is no longer available.

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