Chief Compliance Officer (CCO)

Join to apply for the Chief Compliance Officer (CCO) role at Agentis Capital.

Agentis Capital is a fast-growing, global independent financial firm known for insightful analysis and exceptional execution. We provide transparent, comprehensive financial services across multiple sectors and geographies, including infrastructure, mining, and diversified assets.

Our platform consists of four core segments: Agentis Capital Partners (principal investments), Agentis Capital Advisors (financial advisory and asset management), Agentis Capital Mining Partners (mining advisory), and Agentis Capital Markets (capital markets).

The Opportunity

We seek a highly skilled Chief Compliance Officer (CCO) to join our team at Agentis Capital Markets, a CIRO-registered broker dealer with offices in Toronto and Vancouver. You will ensure our operations comply with all relevant laws and industry standards, working closely with leadership to uphold ethical and compliance standards.

Your Skills And Experience

• Minimum five years of relevant experience in compliance, risk management, or related fields within financial services.
• Experience with CIRO broker dealer relationships, reporting, and supervision of sales and trading activities.
• Deep understanding of Canadian financial regulations, including AML, KYC, and other compliance standards.
• Knowledge of back-office systems and broker relationship management.
• Familiarity with the National Registration Database (NRD) and UMIR rules.
• Completion of required CCO exams and registrations, including PDO and Supervisor exams.
• Bachelor’s degree in finance, business, law, or related field is an asset.
• Strong leadership and management skills, fostering a culture of compliance and ethics.
• Ability to develop and implement compliance strategies aligned with company goals and regulations.
• Excellent communication skills for engaging with diverse stakeholders.
• Commitment to ethical conduct and regulatory compliance.
• Ability to collaborate across teams and build strong relationships.
• Ongoing commitment to professional development to stay updated on industry trends.

Position Details

• Part-Time
• Desired start: Immediately
• Location: Remote

Additional Information

• Seniority level: Mid-Senior level
• Employment type: Part-time
• Industry: Banking

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