Job Description

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

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