Chief Compliance Officer
About the Company
Well-established independent financial planning & investment advisory firm
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The CCO will be a key leader, responsible for managing all regulatory compliance matters and executing the firm's compliance program. This hands-on role involves providing the necessary leadership, management, and vision to ensure the firm adheres to compliance protocols and has the operational controls and procedures in place to support its growth. The ideal candidate will have a minimum of 10 years' RIA compliance experience, a Bachelor's degree (advanced degree preferred), and a deep knowledge of SEC rules and regulations. They should also be familiar with Finra and ERISA rules, and possess superior management, writing, communication, and technology skills. Key responsibilities for the Chief Compliance Officer include overseeing the firm's compliance program, leading the internal compliance team, and working with external service providers. The CCO will be tasked with developing and implementing policies and procedures to ensure compliance with all relevant laws, as well as maintaining documentation and overseeing regulatory filings. Regular compliance assessments, risk management, and collaboration with all departments to resolve compliance issues are also essential. The successful candidate will be expected to stay current on regulatory changes and work with external legal counsel as needed. An active and valid Series 24, 7, 4, 53, and 66 is highly preferred, and the role requires a professional who can exhibit accountability and leadership in all compliance functions.
Hiring Manager Title
President
Travel Percent
Less than 10%
Functions
Crew Member, Crew, Restaurant McDonald's Restaurants
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