Chief Compliance Officer

Position Overview: The Chief Compliance Officer will report directly to the Chief Executive Officer and work in coordination with the executive management team and investment advisory teams to create a compliant and collaborative compliance program. The CCO will be responsible for overseeing the compliance program and advising senior leadership on significant risk and compliance issues, maintaining a perspective that is both independent/objective and sensitive to the objectives of the organization.

The CCO must have the ability to address complex business issues and initiatives analytically and efficiently. The position presents a tremendous opportunity for an industry professional to oversee and enhance the compliance function for an integrated financial services firm, including multiple registered investment advisers, a limited purpose broker/dealer and insurance agency.

Key Responsibilities: Must keep apprised on the latest rules and regulations in the financial services industry and assess the impact on the firm Advising management and Board of regulatory changes and governance and compliance issues Implementing practices that will ensure company meets all current industry regulation standards Lead regulatory and independent consultant audits Have in-depth knowledge and understanding of the RIA, brokerage and insurance industries Detailed knowledge of the firm’s policies and procedures and how they are applied and monitored Continuous monitoring and updating of regulatory filings, including Form ADV, ADV 2A and Form BD Monitor all aspects of the firm’s operations to identify new or emerging compliance issues Communicate clearly and effectively with all constituencies (management, advisors, staff)

Required Knowledge, Skills and Abilities: Has broad knowledge of diverse financial services Enjoy working in close collaboration with financial advisors and executive management Understands changing market dynamics and prepares the company by developing and implementing strategies to meet the changes in the marketplace Displays excellent project management abilities Possesses exceptional verbal and written communication skills as well as strong presentation abilities Has the ability to motivate and inspire staff of all levels Adjusts to change smoothly and rapidly Exhibits superior organizational skills and strategic planning abilities Has strong interpersonal skills Possesses excellent time management skills and the ability to multi-task effectively

Executive Leadership: Team-Orientated approach and mindset, collaborate and partner with senior leadership to align organizational goals, drive strategic initiatives, and ensure seamless execution across departments Lead by example, embody the firm’s core values and culture, and inspire others to do the same Exhibit flexibility and resilience in adapting to the evolving needs of the organization as it scales and expands Foster, model and promote a collaborative and safe work environment, encouraging teamwork, open communication, and shared responsibility Demonstrate strong management skills, ensuring the firm adapts to changes effectively while maintaining stability, continuity, and harmony across functions

Team Development and Leadership: Build and lead a high-performing compliance platform, fostering a culture of accountability, innovation, and continuous improvement Provide leadership, training, and mentorship to staff to enhance skills, productivity, and morale Collaborate with Human Resources to recruit, onboard, and develop staff

Education and Experience: 10+ years of senior compliance experience in investment management 5+ years of CCO or business unit compliance management experience Series 24 or other FINRA principal registration preferred RIA compliance experience Bachelor’s degree required Proven ability to work collaboratively with business heads, financial advisors, outside consultants and regulators and provide compliant solutions Proven ability to manage employees with varying levels of experience and function Strong organizational, project management, analytical and communication skills