Jobs in Vaughan

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Within 25 km of Vaughan

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Keybase Financial Group

Senior 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

Hiring: Ultimate Designated Person (UDP)

Keybase Financial Group & Argosy Securities

We are seeking an experienced securities industry leader to strengthen regulatory oversight, support sound governance, and promote a culture of integrity, accountability, and client care across our firms.

Five key qualifications

Eligibility for OSC registration and applicable CIRO approval

Meet the proficiency, experience, and suitability requirements applicable to the UDP role. Previous

UDP approval is an asset; appointment is subject to regulatory approval.

Proven senior leadership experience

Demonstrated executive responsibility within a Canadian securities dealer, preferably an

independent firm. Experience overseeing retail advisory businesses, dealer operations, and enterprise

risk is strongly preferred.

Strong regulatory and compliance expertise

Thorough knowledge of NI 31-103, applicable CIRO rules, client-focused reforms, KYC/KYP,

suitability, conflicts of interest, supervision, and AML obligations.

Governance and regulatory execution

Experience working with boards, CCOs, and regulators; overseeing examination responses and

remediation; and ensuring compliance functions have appropriate authority, resources, and follow-

through.

Integrity, judgment, and collaborative leadership

A record of sound decisions, clear communication, and constructive challenge. Ability to support

CCOs, hold leaders accountable, and build trust with advisors and staff.

The opportunity

Help shape the next chapter of two independent Canadian financial services firms, combining strong regulatory stewardship with a practical, people-centred approach.

To express confidential interest: Please submit your résumé and a brief summary of your relevant leadership experience and registration history to :

careers@keybase.com

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More about this job

Responsibilities

Provide senior regulatory oversight and sound governance across two independent Canadian financial services firms, promoting integrity, accountability, and client care. Work with boards, Chief Compliance Officers, regulators, and business leaders to oversee regulatory examinations and remediation, support compliance functions, and hold leaders accountable.

Requirements

Candidates must meet the proficiency, experience, suitability, and regulatory approval requirements for the Ultimate Designated Person role, with prior UDP approval considered an asset. They should bring senior leadership experience in a Canadian securities dealer and strong knowledge of securities regulation, CIRO rules, client-focused reforms, supervision, and anti-money laundering obligations.

Skills

Regulatory Compliance
Securities Regulation
Executive Leadership
Governance
Enterprise Risk Management
CIRO Rules
NI 31-103
KYC/KYP
Suitability Assessment
Conflict of Interest Management
Supervision
Anti-Money Laundering
Regulatory Examinations
Remediation
Board Relations
Collaborative Leadership

Visa sponsorship

Not detected in the job text

Keywords

Ultimate Designated Person
UDP
OSC Registration
CIRO Approval
Canadian Securities Dealer
Retail Advisory Business
Dealer Operations
Enterprise Risk
NI 31-103
CIRO Rules
Client-Focused Reforms
KYC/KYP
Suitability
Conflicts Of Interest
Supervision
Anti-Money Laundering
Regulatory Oversight
Corporate Governance
Regulatory Examinations
Remediation
Chief Compliance Officer
Board Relations
Regulatory Approval
Client Care

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