Chief Compliance Officer (CCO)

Designed Wealth Management; Toronto; On-site; CAD 150,000 - 210,000; Full time

Job summary

Designed Securities Ltd. is seeking a Chief Compliance Officer (CCO) to lead and strengthen our compliance program, governance framework, supervisory controls, and regulatory obligations.

The role requires hands-on leadership, credibility with business partners, and strategic guidance in a fast-paced, regulated environment. The CCO will advise senior leadership, collaborate with advisors and operations, and uphold a culture of client protection, regulatory accountability, and ethical conduct

Qualifications

• Experience in compliance, supervision, risk, audit, legal, operations, or related function in investment services.
• Strong understanding of securities regulations, dealer obligations, compliance controls, and supervisory expectations
• Experience developing or maintaining policies, procedures, monitoring programs, issue logs, compliance reports, or governance materials
• Demonstrated ability to identify risk, recommend practical solutions, and follow through to resolution
• Must have completed the CIRO CCO exam or already registered as a CCO

Responsibilities

• Lead the development, implementation, and enhancement of the firm’s compliance program, policies, procedures, and controls
• Oversee compliance with applicable securities laws, investment industry regulations, internal policies, and regulatory guidance
• Provide practical, business-minded compliance advice to senior leadership, advisors, supervisors, operations, trading, and client-facing teams
• Promote a culture of compliance, accountability, client-first conduct, and ethical decision-making
• Identify compliance risks, elevate material issues, and drive timely corrective action
• Lead or support regulatory examinations, inquiries, filings, training, and remediation activities
• Design and deliver compliance training that is practical, relevant, and understood by team members and registered individuals

Skills

Compliance experience

Regulatory knowledge

Policy development

Risk identification

Leadership

Time management

Communication skills

Professionalism & ethics

CIRO CCO exam

Investment industry experience

Job description

Designed Securities Ltd. is a truly independent investment dealer and member of the Canadian Investment Regulatory Organization (CIRO). Our company is uniquely positioned to provide support driven by the needs of advisors. We design customized experiences for advisors and clients and have integrated Fintech that is based on real feedback, a culture of inclusion and progressive thinking. Our goal is to help evolve an advisor’s practicein light ofFintech, regulatory framework, and client needs. We are not controlled by any larger institutions and have the flexibility to serve our advisors and develop our team members in ways that are meaningful andlong-lasting. Team members areprovided withautonomy and authority to make decisions that drive the firmforwardand we createanunmatched experience for our advisors. We are unique, motivated, and designed to do great – at work and in life.

CULTURE AND VALUES

We know that happy team members make all the difference in keeping advisors, and their clients, happy. Our culture is built on the pillars of inclusion, collaboration, accountability, and self-awareness. What excites us is seeing a group of talented people drawing on each other’s strengths, taking responsibility for making things happen, and contributing their voices and ideas to continue to design who we are. We are incredibly ambitious as an organization and seek people who are excited to commit to this opportunity.

ABOUT THE ROLE

We are looking for a Chief Compliance Officer (CCO) to lead and strengthen our compliance program, governance framework, supervisory controls, and regulatory obligations. This role is ideal for a hands-on compliance leader who can build credibility quickly, influence business partners, and guide the organization through sound judgement, clear communication, and consistent follow-through.

As CCO, you will have practical regulatory knowledge, excellent time management, and the ability to earn trust across the business. The CCO will act as a strategic advisor to senior leadership, and work collaboratively with the firm’s advisors, and maintain a strong culture of compliance, ethical conduct, client protection, and regulatory accountability. This role requires someone who can influence others, build trusted relationships, establish clear governance routines, and balance strategic priorities with day-to-day execution within a fast-paced regulated environment.

WHAT YOU'LL DO

• Lead the development, implementation, and enhancement of the firm’s compliance program, policies, procedures, and controls
• Oversee compliance with applicable securities laws, investment industry regulations, internal policies, and regulatory guidance
• Provide practical, business-minded compliance advice to senior leadership, advisors, supervisors, operations, trading, and client-facing teams
• Promote a culture of compliance, accountability, client-first conduct, and ethical decision-making
• Identify compliance risks, elevate material issues, and drive timely corrective action
• Serve as a key liaison with regulators, external auditors, legal counsel, and other stakeholders as required
• Establish governance routines, including reporting, escalation, issue tracking, and follow-up mechanisms
• Prepare clear reporting for senior management, the Ultimate Designated Person, the board, or relevant governance committees
• Ensure compliance documentation is current, well-organized, and aligned with business activities and regulatory expectations
• Lead or support regulatory examinations, inquiries, filings, training, and remediation activities
• Design and deliver compliance training that is practical, relevant, and understood by team members and registered individuals

LEADERSHIP AND GOVERNANCE

• Act as a trusted leader who can influence others without relying solely on authority
• Build strong working relationships across the firm so team members view compliance as a valued business partner
• Demonstrate sound judgement, integrity, discretion, and confidence when addressing complex or sensitive issues
• Establish clear governance routines, including reporting, escalation, issue tracking, and follow-up mechanisms
• Balance strategic priorities with day-to-day execution, ensuring critical deadlines and regulatory commitments are met
• Communicate expectations clearly and hold teams accountable in a fair, consistent, and constructive manner
• Earn the trust of advisors, team members, and leadership by being knowledgeable, responsive, objective, and solutions-oriented

WHAT YOU BRING

• Experience in compliance, supervision, risk, audit, legal, operations, or a related function within an investment brokerage, investment dealer, wealth management firm, or financial services environment
• Strong understanding of securities regulations, dealer obligations, compliance controls, and supervisory expectations
• Experience developing or maintaining policies, procedures, monitoring programs, issue logs, compliance reports, or governance materials
• Demonstrated ability to identify risk, recommend practical solutions, and follow through to resolution
• Proven leadership capability, including the ability to guide, influence, coach, and gain the confidence of team members at all levels
• Excellent time management and prioritization skills in a fast-paced environment
• Strong written and verbal communication skills, with the ability to explain regulatory expectations clearly and practically
• High degree of professionalism, confidentiality, accountability, and ethical judgment
• Must have completed the CIRO CCO exam or already registered as a CCO
• Minimum 5 years at an Investment Dealer and at least 3 years in a compliance role

WHY JOIN US?

At Designed, we are independent, collaborative, and built to support advisors and clients in meaningful ways. We value inclusion, collaboration, accountability, and self-awareness. This is a newly created role with the opportunity to shape the compliance function, influence how the firm operates, and contribute directly to the continued evolution of our business.

POSITION DETAILS

• This is an active recruitment process for an existing, open vacancy within our organization
• We use AI in the screening of candidates

This is an excellent opportunity to gain exposure to all aspects of an investmentdealer's full compliance regime, and we are excited to hear from you. If this looks like the kind of role and company you're up for, and you have the credentials and experience for this job,

Thispostingwill remain open until a qualified candidate is hired. We thank all applicants who express an interest in this and other opportunities we have posted. We will be in touch with individuals whose profiles most closely match what is needed to be successful in this role.

Designed Securities Ltd. is an equalemployer, and we are dedicated to fostering an inclusive and barrier-free work environment for all employees and candidates. We encourage all qualified candidates to apply. If accommodation is required during any stage of the recruitment process, please let us know.