Chief Compliance Officer (CCO)
About The Position
A growing independent wealth management and capital markets firm is seeking a Chief Compliance Officer (CCO) to lead and oversee the firm’s regulatory compliance program. The firm currently has 10-15 registered advisors and manages over $1 billion in assets under management. They provide wealth management services to retail clients while also participating in capital markets activity including junior mining financings and private placements. The successful candidate will be responsible for maintaining and enhancing the firm’s compliance framework while ensuring adherence to Canadian regulatory requirements including CIRO rules and applicable securities legislation. This role is ideal for an experienced compliance leader who enjoys working closely with advisors, senior leadership, and regulators in a dynamic entrepreneurial environment. This is a hybrid position based in Toronto.
Requirements
- Must be eligible for approval as Chief Compliance Officer with the Canadian Investment Regulatory Organization (CIRO) or currently registered as a CCO with a CIRO-regulated dealer.
- Experience operating in a CIRO-regulated firm (formerly IIROC / MFDA environment).
- Strong understanding of Canadian securities regulations, compliance frameworks, and supervisory requirements.
- Completion of relevant industry designations such as CCO Qualifying Exam (CCO), CSC, CPH, or equivalent.
- Demonstrated ability to interact effectively with regulators and senior leadership.
- Strong leadership, communication, and analytical skills.
- Highly organized with the ability to manage multiple priorities in a fast-paced environment.
Nice To Haves
- Experience overseeing compliance for private placements, exempt market products, or capital markets transactions is highly desirable.
Responsibilities
- Serve as the firm’s Chief Compliance Officer, overseeing all aspects of the compliance program for a CIRO-regulated investment dealer / wealth management firm.
- Ensure the firm’s policies, procedures, and internal controls comply with CIRO regulations, securities laws, and regulatory guidance.
- Act as the primary liaison with regulators, including CIRO and provincial securities commissions.
- Develop, implement, and maintain the firm’s compliance policies and procedures manual.
- Oversee and manage the firm’s compliance monitoring program, including branch reviews, advisor supervision, trade surveillance, and suitability reviews.
- Provide compliance guidance related to private placements, exempt market offerings, and junior mining financings.
- Review and approve marketing materials, client communications, and new product offerings.
- Conduct compliance training for advisors and staff and promote a strong culture of regulatory awareness.
- Lead regulatory filings, reporting, and audits including responses to regulatory examinations and inquiries.
- Advise senior leadership on regulatory developments, risk management, and best practices.
- Manage client complaint handling and regulatory reporting requirements.
- Work closely with the executive team to support the firm’s continued growth while maintaining a robust compliance framework.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Executive
Education Level
No Education Listed
