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.