Chief Compliance Officer, Cross-Border Regs Lead

A financial services firm in Oakville is seeking a Chief Compliance Officer (CCO) to lead their Canadian compliance program. The role involves overseeing regulatory functions and ensuring adherence to OSC requirements while managing cross-border compliance issues with U.S. frameworks. Candidates should have 7–10 years of senior compliance experience in...

Reporting to the CEO and working closely with executive leadership in both Canada and the U.S., the Chief Compliance Officer (CCO) will be responsible for the design, implementation, and leadership of the firm’s Canadian compliance program. As the designated CCO under NI 31-103, you will oversee all compliance functions for our Canadian entities while also...

Reporting to the CEO and working closely with executive leadership in both Canada and the U.S., the Chief Compliance Officer (CCO) will be responsible for the design, implementation, and leadership of the firm’s Canadian compliance program. As the designated CCO under NI 31-103, you will oversee all compliance functions for our Canadian entities while also...

Reporting to the CEO and working closely with executive leadership in both Canada and the U.S., the Chief Compliance Officer (CCO) will be responsible for the design, implementation, and leadership of the firm’s Canadian compliance program. As the designated CCO under NI 31-103, you will oversee all compliance functions for our Canadian entities while also...

About Us We are a dynamic and growing wealth management firm registered with the Ontario Securities Commission (OSC) as both a Portfolio Manager (PM), Investment Fund Manager (IFM), and Exempt Market Dealer (EMD) with operations across all Canadian provinces and territories. The OSC acts as our principal regulator, and we operate within a robust and evolving...

About Us We are a dynamic and growing wealth management firm registered with the Ontario Securities Commission (OSC) as both a Portfolio Manager (PM), Investment Fund Manager (IFM), and Exempt Market Dealer (EMD) with operations across all Canadian provinces and territories. The OSC acts as our principal regulator, and we operate within a robust and evolving...

About Us We are a dynamic and growing wealth management firm registered with the Ontario Securities Commission (OSC) as both a Portfolio Manager (PM), Investment Fund Manager (IFM), and Exempt Market Dealer (EMD) with operations across all Canadian provinces and territories. The OSC acts as our principal regulator, and we operate within a robust and evolving...

About Us We are a dynamic and growing wealth management firm registered with the Ontario Securities Commission (OSC) as both a Portfolio Manager (PM), Investment Fund Manager (IFM), and Exempt Market Dealer (EMD) with operations across all Canadian provinces and territories. The OSC acts as our principal regulator, and we operate within a robust and...

About UsWe are a dynamic and growing wealth management firm registered with the Ontario Securities Commission (OSC) as both a Portfolio Manager (PM), Investment Fund Manager (IFM), and Exempt Market Dealer (EMD) with operations across all Canadian provinces and territories. The OSC acts as our principal regulator, and we operate within a robust and evolving...

About UsWe are a dynamic and growing wealth management firm registered with the Ontario Securities Commission (OSC) as both a Portfolio Manager (PM), Investment Fund Manager (IFM), and Exempt Market Dealer (EMD) with operations across all Canadian provinces and territories. The OSC acts as our principal regulator, and we operate within a robust and evolving...