Chief Compliance Officer (CCO)

Location: Toronto, ON
(Hybrid)<\/span>
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Compensation:
$170,000 – $195,000 Base Salary + Bonus <\/span>
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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. <\/span>
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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. <\/span>
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This is a hybrid
position based in Toronto. <\/span>
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Key Responsibilities <\/span><\/b>
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• Serve as the firm’s Chief Compliance Officer,
  overseeing all aspects of the compliance program for a CIRO -regulated
  investment dealer / wealth management firm. <\/span>
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• Ensure the firm’s policies, procedures, and
  internal controls comply with CIRO regulations, securities laws, and
  regulatory guidance. <\/span>
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• Act as the primary liaison with regulators,
  including CIRO and provincial securities commissions. <\/span>
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• Develop, implement, and maintain the firm’s
  compliance policies and procedures manual. <\/span>
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• Oversee and manage the firm’s compliance
  monitoring program, including branch reviews, advisor supervision, trade
  surveillance, and suitability reviews. <\/span>
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• Provide compliance guidance related to private
  placements, exempt market offerings, and junior mining financings. <\/span>
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• Review and approve marketing materials, client
  communications, and new product offerings. <\/span>
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• Conduct compliance training for advisors and
  staff and promote a strong culture of regulatory awareness. <\/span>
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• Lead regulatory filings, reporting, and audits
  including responses to regulatory examinations and inquiries. <\/span>
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• Advise senior leadership on regulatory
  developments, risk management, and best practices. <\/span>
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• Manage client complaint handling and
  regulatory reporting requirements. <\/span>
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• Work closely with the executive team to
  support the firm’s continued growth while maintaining a robust compliance
  framework. <\/span>
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  Qualifications <\/span><\/b>
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  • 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. <\/span>
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  • Experience operating in a CIRO -regulated firm
    (formerly IIROC / MFDA environment). <\/span>
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  • Strong understanding of
    Canadian securities regulations, compliance frameworks, and supervisory
    requirements. <\/span>
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  • <\/span>
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  • Experience overseeing compliance for private
    placements, exempt market products, or capital markets transactions is
    highly desirable. <\/span>
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  • Completion of relevant industry designations
    such as CCO Qualifying Exam (CCO), CSC, CPH, or equivalent. <\/span>
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  • Demonstrated ability to interact effectively
    with regulators and senior leadership. <\/span>
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  • Strong leadership, communication, and
    analytical skills. <\/span>
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  • Highly organized with the ability to manage
    multiple priorities in a fast -paced environment. <\/span>
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