Chief Financial Officer (CFO)

Chief Financial Officer (CFO)
New investment dealer · Part-time or fractional basis
Engagement: Part-time or fractional basis, as CIRO allows, with monthly retainer
Location: Qualified candidates across Canada are welcome to apply
About the Role
Our client is in the process of establishing a new investment dealer. As part of the CIRO application and approval process, the firm is seeking a Chief Financial Officer on a part-time or fractional basis, as CIRO allows.
Initially the firm anticipates approximately five hours per week or less. The primary requirement will be support with the regulatory application and related matters. As the business progresses, the required scope and level of support will be reassessed.
Responsibilities

• Support the application process, including financial projections and other financial information required as part of the CIRO submission and subsequent regulatory review.
• Respond to regulatory questions relating to the firm's financial information during the application and review.
• Assume the appropriate financial responsibilities of the role as the business progresses.

Qualifications and Experience

• Eligible for CIRO approval as the Chief Financial Officer of an investment dealer.
• Current CIRO proficiency for the role: the CIRO CFO Exam under the Proficiency Model in effect since January 1, 2026, or legacy CFO proficiency where the candidate is covered by CIRO's transition provisions for those approved in the role before that date.
• A financial accounting designation such as a CPA, a finance related university degree or diploma, or equivalent work experience acceptable to CIRO.
• A minimum of 10 years of progressive finance and accounting experience, including at least 5 years in a senior finance or CFO capacity at a CIRO or IIROC regulated investment dealer, with demonstrated accountability for regulatory capital and financial reporting.
• Deep working knowledge of CIRO financial and operational rules, including Form 1 capital reporting, minimum and risk adjusted capital, margin and capital adequacy under IDPC Rule 5000, subordinated loan agreements, and financial reporting to CIRO.
• Experience supporting a new dealer registration or CIRO membership application is a strong asset.
• Currently or recently approved in the CFO category is strongly preferred. The firm is seeking experienced candidates who already meet proficiency rather than someone who will complete it after joining.

Engagement

• Part-time or fractional basis, as CIRO allows.
• Approximately five hours per week or less initially, with scope reassessed as the business progresses.
• Open to candidates across Canada. Candidates do not need to be located in Ontario.