Chief Compliance Officer

Chief Compliance Officer

Chief Compliance Officer
Multi-Billion AUM RIA
Published
July 11, 2022
Location
Boston, MA

Description

Overview

Multi-Billion AUM RIA seeks a Chief Compliance Officer to provide executive leadership and strategy over compliance, risk management, control & operations.

The CCO will oversee regulatory compliance and play a key role in the diligence and integration of all acquired businesses for a firm that has been growing extensively through acquisitions.

Highlights

  • Oversee all compliance, regulatory interaction and audit functions for a fast growing, multi-billion AUM RIA.
  • Develop and implement an overall strategic vision for the compliance functional areas in an entrepreneurial, growth minded culture.
  • Proactively collaborate with Sales, Legal, Marketing, Operations, and other departments to ensure compliance issues are resolved.
  • Manage the compliance review of all marketing materials produced by the firm.
  • Competitive base compensation, profit and performance driven bonuses and excellent benefits.

Requires 5+ years’ RIA compliance or Law Firm SEC compliance experience 

Apply
Drop files here browse files ...

Leah Yosef International is the Private Wealth and Investment Management search division of Sanford Rose Associates, recognized by Executive Search Review as being one of the Top 10 Search Firms in North America with 90+ Offices worldwide. To learn more, please reach out to your Leah Yosef International executive search consultant today. Schedule A Consultation



Are you sure you want to delete this file?
/