Chief Compliance Officer (Filled)
Multi-Billion AUM RIA
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
- 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
- 5+ years’ RIA compliance or Law Firm SEC compliance experience