Chief Compliance Officer (CIRO)

Toronto, ON
On-site
Posted Sep 27, 2026
1 position

Opens an external site

Employment type: Full-time
Experience level: Lead · 10+ years
Minimum education: Professional degree
Apply by: Oct 25, 2026
Posting language: English
Working hours: 40 hours per week
Seniority: Executive
Application method: Direct apply is available

Job summary

Lead and enhance the firm’s compliance program, ensuring adherence to CIRO requirements and applicable securities regulations while overseeing monitoring, reporting, audits, and examinations. Advise senior leadership on regulatory, governance, and risk matters; support growth initiatives; and lead and mentor the compliance team.

Job details

We are partnering with a growing Canadian wealth and investment platform seeking a Chief Compliance Officer (CCO) to join its executive leadership team. This is a highly visible leadership role within an entrepreneurial and evolving investment dealer environment focused on scaling operations, strengthening governance, and supporting continued business growth. The successful candidate will be responsible for leading and enhancing the organization’s compliance framework, ensuring adherence to CIRO requirements and applicable securities regulations while acting as a strategic business partner to senior leadership. Key ResponsibilitiesLead and oversee the firm’s overall compliance program, policies, and proceduresEnsure compliance with CIRO and applicable securities regulatory requirementsProvide guidance on regulatory, governance, and risk-related matters across the businessOversee compliance monitoring, regulatory reporting, audits, and examinationsSupport the organization’s continued growth and operational scalabilityPartner with leadership on strategic initiatives, new products, and process improvementsManage and mentor members of the compliance teamReview marketing materials, sales practices, and business initiatives from a compliance perspective Ideal BackgroundCurrent Chief Compliance Officer (or equivalent senior compliance leader) within a CIRO-regulated investment dealer environmentDeep knowledge of investment dealer compliance, including managed and advisory accountsStrong understanding of CIRO requirements, AML, and securities regulationsExperience building or enhancing scalable compliance programs and infrastructureProven leadership capabilities with strong executive presence and communication skillsAbility to operate as a pragmatic, business-oriented compliance partnerCompletion of CSC, CPH, PDO/BM, and CCO licensing requirements REF#LI1696

What you’ll do

Requirements

Requires current experience as a Chief Compliance Officer or equivalent senior compliance leader at a CIRO-regulated investment dealer, with deep investment dealer compliance knowledge and understanding of CIRO, anti-money laundering, and securities regulations. Candidates should have experience building scalable compliance programs, strong leadership and communication skills, a pragmatic business-oriented approach, and the listed CSC, CPH, PDO/BM, and CCO licensing requirements.