Associate Director Compliance Ciro Dealer

Lead CIRO compliance operations at Steadyhand Investment Funds Inc., using risk-based monitoring, testing, and regulatory judgment in a hybrid work model.As Associate Director, Compliance, you will manage the day-to-day program for a CIRO-regulated mutual fund dealer. Reporting to the Chief Compliance Officer, you will lead compliance resources and support monitoring, branch reviews, registrations, complaints, governance reporting, examinations, policy management, and regulatory change. The role combines technical expertise, people leadership, program management, and business partnership.Key Responsibilities:
Manage the annual compliance plan, calendar, risk assessment, and testing frameworkOversee monitoring, branch reviews, Operations-control reviews, and remediation validationLead registration, licensing, continuing education, complaints, and regulatory reportingCoordinate CIRO examinations, regulatory reviews, document production, and deficiency responsesDevelop dashboards, policies, training, and governance materials for senior managementRequirements:
University degree in business, finance, law, commerce, economics, or related disciplineFive to ten or more years’ progressive regulated financial services compliance experienceStrong knowledge of CIRO Mutual Fund Dealer requirements and Canadian securities legislationExperience managing examinations, compliance reviews, remediation, and complex regulatory mattersStrong leadership, judgment, communication, project management, and change capabilitiesBring CIRO dealer compliance, monitoring, regulatory reporting, and people leadership expertise to Steadyhand’s operational compliance function.
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