Chief Compliance Officer

This role is responsible for designing, implementing, and overseeing a comprehensive compliance program to ensure adherence to applicable laws, regulations, and internal policies. The Head of Compliance will act as a subject matter expert, providing strategic guidance to senior leadership and cross-functional teams while managing regulatory interactions, monitoring compliance risks, and fostering a culture of compliance across the organization. KEY RESPONSIBILITIES AND DUTIES Broker-Dealer Compliance: Serve as the Chief Compliance Officer for the broker-dealer, maintaining and enhancing the compliance program to effectively identify, prevent, detect, and remediate regulatory issues. Oversee the implementation of written supervisory procedures, compliance policies and training, annual testing, transaction monitoring, and anti-money laundering (“AML”) compliance. Manage FINRA Gateway filings (e.g., Forms BR, BD, U4, and U5) and coordinate broker-dealer audits, inspections, and examinations. Ensure compliance with FINRA rules and manage all aspects of the firm’s AML program. Develop and update policies and procedures to address regulatory changes and evolving business needs. Coordinate internal audits, regulatory exams, inquiries, and investigations, as well as manage regulatory filings. Conduct compliance training for broker-dealer personnel and stay informed on new rules, regulations and best practices. Collaborate with Legal, Onboarding, Business Development, Relationship Management Support, and HR to identify and mitigate regulatory risks. Communicate compliance issues, trends, and reports to senior management. Monitor and complete periodic regulatory reporting requirements. Registered Investment Adviser Compliance: Implement and maintain a comprehensive compliance program for the SEC-registered investment adviser, ensuring adherence to the Investment Advisers Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules and regulations. Oversee the implementation of written supervisory procedures, compliance policies and training, annual testing, transaction monitoring, and AML compliance. Provide compliance and regulatory advice as a subject matter expert, identifying and prioritizing compliance risks and offering pragmatic solutions. Develop and update policies and procedures to address regulatory changes and evolving business needs. Administer the RIA’s Code of Ethics and ensure compliance issues are addressed appropriately. Coordinate internal audits, regulatory exams, inquiries, and investigations, as well as manage regulatory filings. Conduct compliance training for RIA personnel and stay informed on new rules, regulations and best practices. Partner with senior leaders to provide guidance on day-to-day processes and strategic initiatives to ensure compliance and mitigate reputational risks. General Compliance Responsibilities: Work closely with Legal, Risk Management, HR, and other corporate functions to address compliance risks and support organizational objectives. Monitor regulatory developments and communicate their impact to stakeholders. Manage special projects, such as license applications or regulatory change initiatives. Foster a strong compliance culture and ethics across the organization. Requirements KNOWLEDGE, SKILLS, AND EXPERIENCE Must Have: Bachelor’s degree in a relevant field. A minimum of 10 years of compliance experience in the financial services industry, including senior roles supporting broker-dealer and RIA compliance programs. Strong understanding of FINRA, SEC, and state regulatory requirements, including the federal and state securities laws and regulations. Proven experience in building a RIA compliance program from the ground up. Proven experience in implementing and maintaining risk-based compliance programs, including testing, monitoring, risk assessment, and reporting. Have passed the Series 7, Series 14 or 24, and the Series 65 or 66 qualification examinations (or equivalent). Benefits Starting at $90,000/year (depending on level of experience), plus a competitive benefits package.