Opens LinkedIn
- Employment type
- Full-time
- Experience level
- Lead · 10+ years
- Apply by
- Mar 7, 2027
- Posting language
- English
- Working hours
- 40 hours per week
- Seniority
- Executive
- Application method
- Direct apply is available
Job summary
Lead the firm's compliance and supervisory framework, ensuring adherence to CIRO and applicable securities regulations. Oversee regulatory examinations, inquiries, reporting, monitoring, testing, complaints, KYC/KYP, suitability, AML, and conflicts, while advising senior leadership.
Job details
CIRO Investment Dealer | Greater Toronto Area Job Overview We are seeking two experienced senior compliance professionals to fill the roles of Ultimate Designated Person (UDP) and Chief Compliance Officer (CCO). These individuals will provide regulatory leadership, independent oversight, and strategic guidance to senior management and the Board of Directors, ensuring the organization maintains strong compliance standards and effective regulatory governance. These senior leadership positions are suited to experienced compliance professionals who possess strong regulatory expertise, sound judgment, and a practical, business-focused approach to compliance and risk management. Applicants must currently be registered and approved by CIRO as a Chief Compliance Officer (CCO), and / or Ultimate Designated Person (UDP). KEY RESPONSIBILITIES · Lead the firm's compliance and supervisory framework. · Ensure compliance with CIRO and applicable securities regulations. · Manage regulatory examinations, inquiries and reporting. · Oversee monitoring, testing, complaints, KYC/KYP, suitability, AML and conflicts. · Advise the President and Chief Operations Officer (COO) IDEAL CANDIDATE · Senior compliance experience with a CIRO-regulated investment dealer. · Experience working directly with regulators. · Demonstrated leadership, judgment and executive presence. · Pragmatic, collaborative and solutions-oriented. THE OPPORTUNITY Join an established reliable Independent Canadian financial services organization committed to strong governance, responsible growth and a compliance culture. Our philosophy is simple: Good compliance is good for business. Competitive executive compensation and benefits. Confidential applications welcome to careers@keybase.com
What you’ll do
Lead the firm's compliance and supervisory framework, ensuring adherence to CIRO and applicable securities regulations. Oversee regulatory examinations, inquiries, reporting, monitoring, testing, complaints, KYC/KYP, suitability, AML, and conflicts, while advising senior leadership.
Requirements
Applicants must currently be registered and approved by CIRO as a Chief Compliance Officer (CCO) and/or Ultimate Designated Person (UDP). The role calls for senior compliance experience with a CIRO-regulated investment dealer, direct regulator experience, strong judgment and leadership, and a pragmatic, collaborative approach.
Benefits
- Executive Compensation
- Benefits
Listed skills
- Regulatory Compliance · Preferred
- Risk Management · Preferred
Other relevant skills
Identified from the job description. Confirm important requirements above.
- Regulatory Compliance
- Compliance Leadership
- Regulatory Governance
- Regulatory Examinations
- Regulatory Inquiries
- Regulatory Reporting
- Supervisory Frameworks
- Compliance Monitoring
- Compliance Testing
- Complaint Management
- Know Your Client (KYC)
- Know Your Product (KYP)
- Suitability
- Anti-Money Laundering (AML)
- Conflict Management
- Risk Management
Job areas
- Finance & Accounting
- Management & Leadership
- Legal