Chief Compliance Officer Advisory Services

We are seeking an experienced and strategic Chief Compliance Officer (CCO) to lead our compliance initiatives for our CIRO-regulated dealer operations. The CCO will ensure that our firm adheres to all regulatory requirements set forth by the Canadian Investment Regulatory Organization (CIRO), fostering a culture of integrity and compliance. This position requires a deep understanding of securities regulations, exceptional leadership skills, and the ability to effectively manage compliance risks.

**Position Responsibilities:**

+ Regulatory Oversight: Ensure compliance with CIRO regulations and other applicable securities laws, providing guidance and oversight to the organization on all compliance-related matters.
+ Policy and Procedure Development: Develop, implement, and maintain compliance policies and procedures, ensuring they are current and effectively communicated throughout the organization.
+ Risk Assessment and Management: Identify, assess, and mitigate ...