Description du poste
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-centered 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
Pay: $155,000.00 per year
Ability to commute/relocate:
* Richmond Hill, ON: reliably commute or plan to relocate before starting work (required)
Work Location: Hybrid remote in Richmond Hill, ON