Chief Compliance Officer

Objectway

. Establish, maintain, and oversee the firm's compliance system in accordance with NI 31-103, applicable provincial securities legislation, and CSA guidance .

Posted 10/8/2026full-timeToronto • CanadaLead💰 CA$180,000 - CA$200,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive knowledge of compliance systems, regulatory obligations, and risk management within the Canadian securities industry, while effectively leading compliance initiatives and training programs.

Highest-signal resume keywords

Chief Compliance Officer (CCO) QualificationNational Instrument 31-103 KnowledgeProvincial Securities Legislation KnowledgeCompliance Systems and Supervisory FrameworksExperience with Canadian Securities Regulators

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Risk AssessmentKYC and KYP OversightRegulatory Filings CoordinationCompliance Policy DevelopmentMonitoring and Testing Compliance Effectiveness

Soft Skills

LeadershipCommunicationStakeholder ManagementIntegrityProfessionalism

Tools & Technologies

Microsoft Office 365SharePointSalesforce

Certifications & Qualifications

Chief Compliance Officer (CCO) Approval

Industry Keywords

Canadian Securities IndustryCSA GuidanceClient Focused ReformsPCMLTFA ComplianceGovernance and Enterprise Risk Management

About the role

Key responsibilities & impact

Establish, maintain, and oversee the firm's compliance system in accordance with NI 31-103, applicable provincial securities legislation, and CSA guidance
Serve as the firm's registered Chief Compliance Officer under NI 31-103
Establish and maintain compliance policies, procedures, and supervisory frameworks
Monitor compliance effectiveness, conduct testing, identify deficiencies, and oversee remediation
Advise senior management on regulatory obligations and developments
Coordinate regulatory filings and reporting obligations
Support securities commission reviews and regulatory examinations
Act as the primary compliance contact for securities regulators
Prepare compliance reports for senior management and the Board
Perform compliance risk assessments and monitor corrective actions
Lead KYC, KYP, suitability, conflicts of interest, complaints, disclosures, recordkeeping, marketing review, personal trading, and outsourcing oversight
Support PCMLTFA compliance and oversee client identification, monitoring, sanctions screening, and suspicious transaction reporting
Develop and deliver compliance training and promote ethical conduct
Partner with the UDP on compliance governance and present updates to executive leadership and the Board
Provide independent compliance advice on new products, strategic initiatives, and business changes

Requirements

What you’ll need

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
Strong knowledge of provincial securities legislation
Strong knowledge of CSA Staff Notices and guidance
Strong knowledge of Client Focused Reforms
Strong knowledge of 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
Experience using Microsoft Office 365, SharePoint and Salesforce (preferred)