Impress employers and recruiters.
Choose from hundreds of resume examples.

Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

Lead and oversee the firm’s regulatory compliance program for a growing independent wealth management and capital markets firm. This role is ideal for an experienced compliance leader who enjoys working closely with advisors, senior leadership, and regulators in a dynamic entrepreneurial environment.

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.

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.
• Experience overseeing compliance for private placements, exempt market products, or capital markets transactions is highly desirable.
• 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.

Skills

• Leadership
• Communication
• Analytical skills

Location

• Toronto, ON

Work Type

• Hybrid

Experience Level

• Chief Compliance Officer
• Experienced compliance leader

Education Level

• CCO Qualifying Exam (CCO)
• CSC
• CPH
• Equivalent

Salary/Compensations

• $170,000 – $195,000 Base Salary + Bonus

About the Company

• A growing independent wealth management and capital markets firm.
• 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.