Job Title

Chief Compliance Officer Our Client A rapidly growing, independent financial firm offering comprehensive financial services across various sectors and geographies. Responsibilities Lead compliance efforts for CIRO-registered broker-dealer operations, ensuring adherence to legal, regulatory, and industry standards. Oversee compliance with Canadian financial regulations, including AML, KYC, and UMIR. Manage CIRO broker-dealer reporting and supervise sales and trading activities. Develop and implement compliance policies and strategies. Facilitate interactions with regulatory bodies and manage broker relationships. Ensure compliance training and awareness across the organization. Our Client At least 5 years of experience in compliance or risk management within financial services. Familiarity with CIRO broker-dealer requirements, NRD, and back-office systems. Completion of Chief Compliance Officer qualifying exams (PDO, Supervisor). Strong leadership, communication, and organizational skills. Bachelor''s degree in finance, business, or law is preferred.