CCO

Chief Compliance Officer (CCO)
New investment dealer · Part-time or fractional basis, with potential to become full-time
Engagement: Part-time or fractional basis, as CIRO allows, with potential to become full-time (monthly retainer)
Location: Open to qualified candidates across Canada
Initial commitment: Approximately 10 hours per month
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 Compliance Officer on a part-time or fractional basis, as CIRO allows.
Much of the foundational compliance work has already been completed, and the firm's legal team performs much of the compliance function. The CCO oversees that work. Initially the firm anticipates approximately 10 hours per month. As the business progresses, the role may grow into a full-time position.
Responsibilities

• Oversee the compliance function, much of which is performed by the firm's legal team.
• Review the existing policies and procedures.
• Support the CIRO application and respond to regulatory questions.
• Assume the appropriate compliance and supervisory responsibilities once registered individuals join the dealer.

Qualifications and Experience

• Eligible for CIRO approval as the Chief Compliance Officer of an investment dealer.
• Current CIRO proficiency for the role: the CIRO CCO Exam, together with the CIRE foundational exam, under the Proficiency Model in effect since January 1, 2026, or legacy CCO proficiency (the Chief Compliance Officers Qualifying Examination and the Partners, Directors and Senior Officers course) where the candidate is covered by CIRO's transition provisions for those approved before that date.
• Meets CIRO's minimum experience requirements for the role, broadly five years at an investment dealer or registered advisor with at least three years in a compliance or supervisory capacity, or three years of securities industry professional services with at least twelve months at a dealer or advisor in a compliance or supervisory role.
• A minimum of 10 years in securities compliance, including at least 5 years in a senior compliance or CCO capacity at a CIRO or IIROC regulated investment dealer.
• Demonstrated experience as an approved CCO at a CIRO or IIROC regulated investment dealer. Prior CCO experience is required to be approved under a shared or fractional model covering more than one dealer.
• Deep working knowledge of the compliance system obligations of a dealer, including the CCO's annual report to the board, KYC and suitability review under NI 31-103, FINTRAC compliance program design, and the IDPC 1300 and 5000 series.
• Experience supporting a new dealer registration or CIRO membership application is a strong asset.
• 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, with potential to become a full-time role as the business progresses.
• Approximately 10 hours per month initially, with scope reassessed as the business progresses.
• Open to candidates across Canada. Candidates do not need to be located in Ontario.