CHIEF COMPLIANCE OFFICER (CCO)

CHIEF COMPLIANCE OFFICER (CCO)

Location: Toronto, ON

Reports to: Chief Operating Officer

On behalf of a highly respected, independent Canadian investment management and multi-family office firm, we are seeking an experienced Chief Compliance Officer (CCO) to lead and oversee the firm’s compliance function.

This organization specializes in investment management and wealth advisory services, utilizing a disciplined, pension-style investment approach across equities, fixed income, and alternative investments. The firm is committed to delivering exceptional client service while fostering a collaborative, high-performance culture built on integrity, partnership, and excellence.

Reporting directly to the Chief Operating Officer and Ultimate Designated Person (UDP), the Chief Compliance Officer will be responsible for establishing, maintaining, and overseeing the firm’s compliance framework, ensuring adherence to applicable securities legislation and regulatory requirements. This individual will provide hands-on enterprise-wide compliance oversight, ensuring systems, policies, and controls remain effective, appropriately resourced, and aligned with regulatory expectations under NI 31-103 and related obligations.

This is an in-office position based in Toronto.

KEY RESPONSIBILITIES:

Regulatory Oversight & Compliance Framework

• Oversee and monitor the effectiveness of the firm’s compliance program across all business activities.
• Ensure compliance with applicable securities legislation and regulatory obligations.
• Maintain ultimate accountability for the firm’s compliance function, including where responsibilities have been delegated.
• Review and update compliance policies and procedures in response to regulatory developments and business changes.

Governance, Policy & Risk Management

• Approve and oversee key internal policies, including regulatory, risk management, and data protection policies.
• Foster a strong culture of compliance while ensuring the compliance function is appropriately resourced.
• Maintain records of regulatory breaches, including remediation efforts and preventative measures.
• Oversee outsourced compliance-related arrangements and ensure appropriate due diligence and controls are maintained.

Supervision & Monitoring

• Supervise employees, officers, and registered individuals with respect to compliance requirements.
• Delegate responsibilities to compliance staff or external advisors where appropriate, while retaining overall accountability.
• Ensure employees receive the training, knowledge, and resources necessary to meet regulatory expectations.

Complaints Handling & Client Protection

• Serve as the firm’s designated Complaints Officer.
• Ensure client complaints are managed fairly, objectively, and within prescribed regulatory timelines.
• Oversee complaint resolution processes, documentation, and client communications.

Regulatory Interaction & Reporting

• Act as the primary liaison with securities regulators on compliance matters.
• Ensure timely and accurate regulatory filings, reporting, and responses.
• Lead and support regulatory reviews, examinations, and audits.

Compliance Operations & Business Integration

• Oversee compliance aspects of client onboarding, Know Your Client (KYC), and suitability reviews.
• Oversee trade supervision, approvals, and pooled fund compliance oversight and reporting.
• Contribute to the development, implementation, and ongoing administration of compliance-related policies and operational processes.

QUALIFICATIONS & EXPERIENCE:

The successful candidate will possess:

• Registration as, or eligibility for registration as, Chief Compliance Officer (IFM, EMD and PM) with the Ontario Securities Commission under National Instrument 31-103.
• Extensive knowledge of Canadian securities legislation and compliance frameworks, including NI 31-103, NI 81-107, NI 45-106, and NI 33-109.
• Demonstrated experience overseeing compliance programs within a registered investment firm (Investment Fund Manager, Exempt Market Dealer and/or Portfolio Manager experience preferred).
• Strong understanding of portfolio management, client servicing, and investment operations.
• Excellent written and verbal communication skills, with the ability to effectively engage regulators, executive leadership, and internal stakeholders.
• Sound judgment, strong commercial acumen, exceptional attention to detail, and a proactive approach to risk management.
• Proficiency with Microsoft Office applications; experience with compliance management systems and fund administration platforms is considered an asset.
• Familiarity with emerging technologies, including AI-enabled tools, is an asset.

If you are an experienced compliance executive looking to play a strategic leadership role within a respected and growing investment management firm, we would welcome the opportunity to speak with you confidentially.

 

COMPENSATION:

• Competitive annual base salary, bonus, and comprehensive benefits package.

If this opportunity is of interest to you, please forward your resume to Shan Collins at scollins@collinsrecruit.com.

All inquiries and applications will be held in the strictest confidence.