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Job Post Details

Chief Compliance Officer (CCO) - job post

KEYBASE FINANCIAL GROUP
1725 16th Avenue, Richmond Hill, ON
$135,000 a year - Permanent, Full-time

Job details

Pay

  • $135,000 a year

Job type

  • Permanent
  • Full-time

Location

1725 16th Avenue, Richmond Hill, ON

Full job description

CIRO Investment Dealer | Greater Toronto Area

Job Overview

We are seeking an experienced Chief Compliance Officer to provide regulatory leadership, independent oversight and strategic advice to senior management and the Board.

This is a senior leadership role for a compliance professional who combines strong regulatory knowledge, sound judgment and a pragmatic business perspective.

KEY RESPONSIBILITIES

  • Lead the firm's compliance and supervisory framework.
  • Ensure compliance with CIRO and applicable securities regulations.
  • Advise the President/UDP, senior management and Board on regulatory risk.
  • Manage regulatory examinations, inquiries and reporting.
  • Oversee monitoring, testing, complaints, KYC/KYP, suitability, AML and conflicts.
  • Lead and develop the compliance team.
  • Strengthen a culture of accountability, prudent risk management and investor protection.

IDEAL CANDIDATE

  • Senior compliance experience with a CIRO-regulated investment dealer.
  • Strong knowledge of Canadian securities regulation.
  • Experience working directly with regulators.
  • Demonstrated leadership, judgment and executive presence.
  • Pragmatic, collaborative and solutions-oriented.
  • Current CCO approval or ability to satisfy applicable CIRO approval requirements.

THE OPPORTUNITY

Join an established Independent Canadian financial services organization committed to strong governance, responsible growth and a modern compliance culture.

Our philosophy is simple: Good compliance is good for business.

Competitive executive compensation and benefits.

Confidential applications welcome

Pay: $135,000.00 per year

Ability to commute/relocate:

  • Richmond Hill, ON: reliably commute or plan to relocate before starting work (preferred)

Work Location: In person

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