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Keybase Financial Group

Chief Compliance Officer

Toronto, ON, Canada

Full-time

Within 25 km of Vaughan · About 22.9 km from the city centre

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Job details

Job type: Full-time
Apply by: Mar 7, 2027
Posted: Sep 8, 2026

Original job description

CIRO Investment Dealer | Greater Toronto Area

Job Overview

We are seeking two experienced senior compliance professionals to fill the roles of Ultimate Designated Person (UDP) and Chief Compliance Officer (CCO). These individuals will provide regulatory leadership, independent oversight, and strategic guidance to senior management and the Board of Directors, ensuring the organization maintains strong compliance standards and effective regulatory governance.

These senior leadership positions are suited to experienced compliance professionals who possess strong regulatory expertise, sound judgment, and a practical, business-focused approach to compliance and risk management.

Applicants must currently be registered and approved by CIRO as a Chief Compliance Officer (CCO), and / or Ultimate Designated Person (UDP).

KEY RESPONSIBILITIES

· Lead the firm's compliance and supervisory framework.

· Ensure compliance with CIRO and applicable securities regulations.

· Manage regulatory examinations, inquiries and reporting.

· Oversee monitoring, testing, complaints, KYC/KYP, suitability, AML and conflicts.

· Advise the President and Chief Operations Officer (COO)

IDEAL CANDIDATE

· Senior compliance experience with a CIRO-regulated investment dealer.

· Experience working directly with regulators.

· Demonstrated leadership, judgment and executive presence.

· Pragmatic, collaborative and solutions-oriented.

THE OPPORTUNITY

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

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

Competitive executive compensation and benefits.

Confidential applications welcome to careers@keybase.com

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More about this job

Responsibilities

Lead the firm's compliance and supervisory framework, ensuring adherence to CIRO and applicable securities regulations. Oversee regulatory examinations, inquiries, reporting, monitoring, testing, complaints, KYC/KYP, suitability, AML, and conflicts, while advising senior leadership.

Requirements

Applicants must currently be registered and approved by CIRO as a Chief Compliance Officer (CCO) and/or Ultimate Designated Person (UDP). The role calls for senior compliance experience with a CIRO-regulated investment dealer, direct regulator experience, strong judgment and leadership, and a pragmatic, collaborative approach.

Skills

Regulatory Compliance
Compliance Leadership
Regulatory Governance
Regulatory Examinations
Regulatory Inquiries
Regulatory Reporting
Supervisory Frameworks
Compliance Monitoring
Compliance Testing
Complaint Management
Know Your Client (KYC)
Know Your Product (KYP)
Suitability
Anti-Money Laundering (AML)
Conflict Management
Risk Management

Benefits

Executive Compensation
Benefits

Visa sponsorship

Not detected in the job text

Keywords

CIRO
Investment Dealer
Chief Compliance Officer (CCO)
Securities Regulations
Compliance Framework
Supervisory Framework
Regulatory Governance
Regulatory Examinations
Regulatory Inquiries
Regulatory Reporting
Compliance Monitoring
Compliance Testing
Complaints
Know Your Client (KYC)
Know Your Product (KYP)
Suitability
Anti-Money Laundering (AML)
Conflicts of Interest
Risk Management
Board of Directors
Financial Services

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