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.