Establish compliance leadership as the Head of Compliance for a forward-thinking investment dealer. Oversee Canadian regulatory standards, financial crime policies, and compliance frameworks with strategic insight.In this influential role, you’ll lead the compliance initiatives, building relationships with key regulators and ensuring all organizational practices meet CIRO standards. Your guidance will enhance compliance policies and support a culture of regulatory adherence and responsible growth.Key Responsibilities:• Build and maintain regulatory relationships with CIRO• Lead development of robust compliance and AML/CTF policies• Provide compliance guidance to interdisciplinary teams• Conduct compliance meetings and ensure reporting accuracy• Supervise investment dealer activities for compliance adherenceRequirements:• 5+ years in a senior compliance role at CIRO-regulated dealer• In-depth knowledge of investment regulations and AML laws• Strong leadership and communication skills• Problem-solving approach with strategic mindset• PDO and CCO qualifications are necessaryContribute to the success of the investment dealer while ensuring compliance rigor and enabling sustainable growth within a diverse and inclusive organization.#J-18808-Ljbffr
Head Of Compliance For Innovative Canadian Investment Dealer
WISE
toronto, toronto
Published 27 days ago
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