Chief Compliance Officer (CCO)
Confidential
Chief Compliance Officer (CCO)
About the Company
Established independent broker-dealer and registered investment adviser offering investment products and services
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to lead broker-dealer and investment adviser compliance functions. Responsibilities include overseeing daily compliance activities, regulatory filings, inquiries, examinations, complaints, and inspections; maintaining compliance records; and monitoring trading and surveillance reports. The role also involves developing and updating policies and procedures, reviewing advertising and representative communications, advising registered professionals, and leading compliance initiatives. The successful candidate will work with senior leadership to strengthen regulatory oversight and guide the compliance team. Candidates should have a bachelor’s degree or equivalent professional experience and at least three years of compliance or operations experience in a broker-dealer or registered investment adviser setting. Strong knowledge of FINRA, SEC, state securities, and investment adviser regulations is required, along with excellent written, verbal, and interpersonal communication skills. FINRA Series 7 and 24 licenses are required, or Series 7 with the ability to obtain Series 24 within 120 days; Series 4, 53, 63, and 65 are preferred.
Functions
- Finance
Vacancy posted 2 days ago
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