Chief Compliance Officer (CIRO)

BJRC Recruiting; Toronto; On-site; CAD 180,000 - 240,000; Full time

Job summary

BJRC Recruiting partners with a Canadian wealth and investment platform to seek a Chief Compliance Officer to lead the compliance function and align governance with CIRO requirements. This is a high-visibility executive role reporting to the CEO and working across the leadership team.

You will design and enhance scalable compliance programs, oversee regulatory reporting and audits, guide risk-based decisions, and act as a trusted business partner on new products.

Qualifications

• Deep knowledge of CIRO requirements, AML, and securities regulations.
• Experience building or enhancing scalable compliance programs and infrastructure.
• Proven leadership capabilities with executive presence and communication skills.
• Ability to operate as a pragmatic, business-oriented compliance partner.

Responsibilities

• Lead and oversee the firm’s overall compliance program, policies, and procedures.
• Ensure compliance with CIRO and applicable securities regulatory requirements.
• Provide guidance on regulatory, governance, and risk-related matters across the business.
• Oversee compliance monitoring, regulatory reporting, audits, and examinations.
• Support the organization’s continued growth and operational scalability.
• Partner with leadership on strategic initiatives, new products, and process improvements.
• Manage and mentor members of the compliance team.
• Review marketing materials, sales practices, and business initiatives from a compliance perspective.

Skills

CIRO compliance

Leadership

Regulatory knowledge

Governance

Education

CSC / CPH / PDO-BM

CCO licensing

Job description

We are partnering with a growing Canadian wealth and investment platform seeking a Chief Compliance Officer (CCO) to join its executive leadership team. This is a highly visible leadership role within an entrepreneurial and evolving investment dealer environment focused on scaling operations, strengthening governance, and supporting continued business growth.
The successful candidate will be responsible for leading and enhancing the organization’s compliance framework, ensuring adherence to CIRO requirements and applicable securities regulations while acting as a strategic business partner to senior leadership.

Key Responsibilities

• Lead and oversee the firm’s overall compliance program, policies, and procedures
• Ensure compliance with CIRO and applicable securities regulatory requirements
• Provide guidance on regulatory, governance, and risk-related matters across the business
• Oversee compliance monitoring, regulatory reporting, audits, and examinations
• Support the organization’s continued growth and operational scalability
• Partner with leadership on strategic initiatives, new products, and process improvements
• Manage and mentor members of the compliance team
• Review marketing materials, sales practices, and business initiatives from a compliance perspective

Ideal Background

• Current Chief Compliance Officer (or equivalent senior compliance leader) within a CIRO-regulated investment dealer environment
• Deep knowledge of investment dealer compliance, including managed and advisory accounts
• Strong understanding of CIRO requirements, AML, and securities regulations
• Experience building or enhancing scalable compliance programs and infrastructure
• Proven leadership capabilities with strong executive presence and communication skills
• Ability to operate as a pragmatic, business-oriented compliance partner
• Completion of CSC, CPH, PDO/BM, and CCO licensing requirements

REF#LI1696