Chief Compliance Officer

The Opportunity

The successful candidate will be accountable for establishing, maintaining, and overseeing the firm's compliance system in accordance with National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations, applicable provincial securities legislation, and guidance issued by the Canadian Securities Administrators (CSA).  

The CCO serves as the firm's designated compliance officer and works closely with the Ultimate Designated Person (UDP), executive leadership, and business teams to promote a strong culture of compliance, ethical conduct, and investor protection.  

This role provides independent oversight of the firm's regulatory compliance framework while supporting responsible business growth and operational excellence. 

How you’ll make an impact:

1. Regulatory Compliance 

• Serve as the firm's registered Chief Compliance Officer under NI 31-103 

• Establish and maintain policies and procedures that support compliance with securities legislation 

• Monitor the effectiveness of the firm's compliance system and recommend enhancements where appropriate 

• Ensure the firm maintains an effective supervisory framework 

• Advise senior management regarding regulatory obligations and emerging regulatory developments 

• Maintain ongoing awareness of changes to Canadian securities laws, CSA guidance, and self-regulatory organization requirements, where applicable 

2. Compliance Oversight 

• Assess whether the firm's policies and procedures remain adequate and effective 

• Conduct ongoing compliance monitoring and testing 

• Identify compliance deficiencies and oversee remediation activities 

• Maintain records supporting the firm's compliance program 

• Escalate material compliance issues to the UDP, executive management, and the Board, as appropriate 

3. Regulatory Reporting 

• Coordinate regulatory filings and required reporting obligations  

• Support securities commission compliance reviews and regulatory examinations 

• Act as the primary compliance contact for securities regulators 

• Prepare compliance reports for senior management and the Board of Directors 

4. Risk Management 

• Perform periodic compliance risk assessments 

• Identify emerging regulatory and operational risks 

• Develop action plans to address identified compliance gaps 

• Monitor implementation of corrective actions 

5. Lead Key Compliance Functions 

• Know Your Client (KYC)  

• Know Your Product (KYP), where applicable  

• Suitability obligations  

• Conflicts of interest management  

• Complaint handling  

• Client disclosure requirements  

• Recordkeeping requirements  

• Marketing and communications review  

• Personal trading policies  

• Outsourcing oversight 

6. AML & Financial Crime 

• Work closely with the firm's Anti-Money Laundering Compliance Officer (or fulfill both roles where appropriate) 

• Support compliance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) 

• Oversee compliance processes relating to client identification, ongoing monitoring, sanctions screening, and suspicious transaction reporting 

7. Training & Culture 

• Develop and deliver compliance training 

• Promote a culture of integrity and ethical conduct 

• Provide regulatory guidance to employees and leadership  

• Ensure employees understand their regulatory responsibilities 

8. Governance 

• Partner with the Ultimate Designated Person (UDP) in overseeing the firm's compliance framework 

• Present compliance updates to executive leadership and the Board 

• Support governance committees as required 

• Provide independent compliance advice regarding new products, strategic initiatives, and business changes 

What You’ll Bring to the Team:

• Qualified for approval as Chief Compliance Officer (CCO) under NI 31-103 

• Significant compliance experience within the Canadian securities industry 

• Strong knowledge of:  

• National Instrument 31-103  

• Provincial securities legislation  

• CSA Staff Notices and guidance  

• Client Focused Reforms  

• Compliance systems and supervisory frameworks  

• Experience interacting with Canadian securities regulators.  

• Strong understanding of governance, enterprise risk management, and internal controls.  

• Excellent leadership, communication, and stakeholder management skills.  

• High degree of integrity, professionalism, and sound judgment. 

 

It would be GREAT if you had: 

• Experience working in a high-growth start-up or scale-up environment 

• Experience using Microsoft Office 365, SharePoint and Salesforce