Chief Compliance Officer (CCO)
Confidential
Chief Compliance Officer (CCO)
About the Company
Technology-driven investment management firm
Industry
Financial Services
Type
Privately Held
Founded
1946
Employees
10,001+
Categories
- Financial Services
- Security
- Investment Management
- Asset Management
- B2B
- Consulting & Professional Services
- Marketplace
- Boston
- Brokerage
- Business News
- College Savings
- Etfs
- Finance
- Financial
- Financial News
- Investments
- Ira
- Legal & HR Software
- Mutual Funds
- Online Trading
- Retirement
- Software
- Software Development & Design
- Stock Trading
- 529 College Savings Plan
- Financial Advisors
- Financial Guidance
- Investing Strategies
- Personal Finance
- Wealth Management
- Insurance
- E-Commerce
- Savings & Investing
- Investing
- Financial Advisers
- Investment
- Financial Markets
- Financial Trading
- Risk Analysis
- Testing & Analysis
- Employee Management
- Business Management and Planning
Specialties
- retirement
- investments
- online trading
- asset management
- ira
- 401k
- mutual funds
- stocks
- etf
- bonds
- brokerage
- cash management
- hsa
- 529 plans
- annuities
- life insurance
- benefits consulting
- stock plan services
- business news
- and wealth management
Business Classifications
- B2B
- Marketplace
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to lead the design, implementation, and enhancement of its compliance program. The CCO will be tasked with fostering a culture of compliance, integrity, and ethical conduct, and ensuring adherence to federal securities laws, regulations, and internal policies. This role involves governance, risk management, and oversight of the firm's subsidiaries, as well as providing guidance on a wide range of compliance issues. The successful candidate will work closely with various internal teams to identify and address emerging risks, serve as the primary liaison with regulators and external auditors, and advise senior management on regulatory developments and compliance best practices. Applicants for the CCO position at the company should have a minimum of 12 years' of broad compliance and/or legal experience in the financial services industry, with a deep knowledge of securities laws. Experience in private equity and venture capital is preferred. The role requires a 4-year college degree, with a JD being advantageous, and leadership experience to manage a small team. The ideal candidate will have a proven track record of influencing decision-makers, working collaboratively across teams, and the ability to spot and address regulatory issues. Exceptional integrity, judgment, and the ability to challenge constructively are essential, as is the capacity to deliver in a fast-paced environment with competing priorities.
Hiring Manager Title
Chief Compliance Officer for Enterprise Services
Functions
- Finance
Vacancy posted 2 days ago
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