Job Description
Step into a pivotal role as Chief Compliance Officer within a Canadian wealth and investment platform, focusing on compliance and governance. Drive compliance frameworks that support business growth and operational scalability.
This role entails leading the compliance program and ensuring strategic adherence to CIRO regulations. You will guide senior leaders on risk-related matters and enhance the operational effectiveness of the compliance team. Your executive presence will be key in managing critical compliance audits, monitoring, and regulatory reporting to support the firm’s trajectory.
Key Responsibilities:
• Oversee the firm’s compliance program and policies
• Ensure CIRO compliance and securities regulation adherence
• Provide governance and risk guidance to leadership
• manage audits and compliance monitoring initiatives
• Partner with teams to support growth and scalability
Requirements:
• Current experience as a Chief Compliance Officer
• Deep un...
This role entails leading the compliance program and ensuring strategic adherence to CIRO regulations. You will guide senior leaders on risk-related matters and enhance the operational effectiveness of the compliance team. Your executive presence will be key in managing critical compliance audits, monitoring, and regulatory reporting to support the firm’s trajectory.
Key Responsibilities:
• Oversee the firm’s compliance program and policies
• Ensure CIRO compliance and securities regulation adherence
• Provide governance and risk guidance to leadership
• manage audits and compliance monitoring initiatives
• Partner with teams to support growth and scalability
Requirements:
• Current experience as a Chief Compliance Officer
• Deep un...