Chief Compliance Officer (CCO)

Chief Compliance Officer (CCO)

About the Company

A growing financial services and alternative investments platform.

Industry
Financial Services

Type
Privately Held

About the Role

The Company is in search of a Chief Compliance Officer to take on a pivotal role in leading and enhancing the compliance framework across its financial services and alternative investments platform. The successful candidate will be the senior compliance leader, serving as the primary contact for regulatory matters and examinations. Key responsibilities include overseeing and continuously improving the firm's compliance program, providing regulatory guidance on a range of business activities, and managing SEC, FINRA, and state regulatory examinations. The role also involves partnering with various teams to strengthen controls, automate compliance processes, and shape a scalable compliance infrastructure to support the company's growth. Applicants for the Chief Compliance Officer position at the company should have a Bachelor's degree, with a JD strongly preferred, and at least 10 years' of compliance experience. A strong knowledge of SEC and FINRA regulations is essential, and experience with private funds, alternative investments, Regulation D offerings, and investor onboarding processes is highly valued. The ideal candidate will have a proven track record in building, leading, and scaling compliance programs, as well as strong communication skills and experience in direct interactions with regulators and senior leadership. The role is suited for a strategic and hands-on compliance executive who is adept at operating in a growth-oriented environment and is passionate about modernizing compliance operations through technology while upholding a robust regulatory culture.

Functions

• Finance