Chief Compliance Officer

Chief Compliance OfficerFoundation Risk Partners, one of the fastest growing insurance brokerage and consulting firms in the US, is adding a Chief Compliance Officer to their team at Advus Financial Partners in the Orlando Metro Region.The Chief Compliance Officer ("CCO") is responsible for the design, implementation, administration, and supervision of the firm's comprehensive compliance program. The CCO serves as the primary leader responsible for promoting a culture of compliance, managing regulatory risk, and ensuring adherence to applicable federal and state securities laws and regulations.Managing approximately $4 billion in client assets, Advus seeks an experienced compliance executive who can provide strategic leadership, regulatory expertise, and practical business guidance. The CCO will work closely with executive leadership, legal counsel, operations, technology, and advisory personnel to support the firm's growth while maintaining the highest standards of regulatory compliance and fiduciary responsibility.The CCO reports directly to the President and has regular access to the Executive Committee and other senior leadership.Essential FunctionsCompliance Program LeadershipRegulatory OversightFiduciary and Advisory ComplianceCompliance Monitoring and TestingMarketing Rule ComplianceEmployee Compliance and TrainingVendor and Third-Party Risk ManagementGovernance and ReportingSupervisionRequired QualificationsBachelor's degree in Finance, Business, Accounting, Law, or related field.Minimum 10 years of investment advisory compliance experience.Minimum 5 years in a senior compliance leadership role.Deep knowledge of:Investment Advisers Act of 1940SEC regulationsForm ADV requirementsMarketing RuleCode of Ethics requirementsFiduciary obligations of registered investment advisersExperience leading SEC examinations and regulatory responses.Strong written and verbal communication skills.Demonstrated ability to influence senior leadership and business stakeholders.Preferred QualificationsJuris Doctor (JD), MBA, or advanced degree.Certified Regulatory and Compliance Professional (CRCP).Investment Adviser Certified Compliance Professional (IACCP).Certified Securities Compliance Professional (CSCP).Experience with wealth management, private client, family office, or institutional advisory businesses.Experience overseeing compliance programs for firms exceeding $1 billion in AUM.Disclaimer: While this job description is intended to be an accurate reflection of the job requirements, management reserves the right to modify, add, or remove duties from particular jobs and to assign other duties as necessary.Equal Employment Opportunity (EEO): FRP provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or any other classifications protected by law.Benefits: FRP offers a comprehensive range of health-related benefit options including medical, vision, and dental. We offer a 401(k) with company match, company paid life insurance, STD, LTD and a generous PTO policy starting at 18 days per year plus 10 paid holidays & 2 floating holidays!