Chief Compliance Officer
The Chief Compliance Officer (CCO) is responsible for designing, managing, and improving the firm's compliance program across advisory and brokerage operations. This is a hands-on leadership role in a lean environment, requiring direct involvement in oversight, supervision, strategy, and issue resolution. The CCO sets clear standards, ensures adoption, and maintains accountability for regulatory compliance while balancing multiple priorities with consistency and composure.
The CCO serves as the designated compliance leader for advisory and broker-dealer entities, ensuring adherence to SEC, FINRA, and state regulations. They lead regulatory exams and inquiries, act as the primary liaison for regulators and external partners, and own the compliance framework, including supervisory procedures. Responsibilities include annual reviews and risk assessments, surveillance and monitoring, timely filings and disclosures, managing legacy private placements, and reviewing marketing materials. The CCO provides practical guidance to advisors and leadership, assesses new initiatives, applies risk-based judgement, leads the compliance team, delivers training, and represents the organization professionally in all regulatory matters.
Requirements
- 10+ years senior compliance experience in dual RIA/BD environment
- Prior CCO or equivalent experience strongly preferred
- Deep knowledge of SEC and FINRA regulations
- Active Series 7, 24, 66 (or ability to obtain promptly); JD a plus
- Strong documentation and regulatory judgement skills
- Ability to manage external relationships
- Familiarity with Orion platform a plus, CRM tools, financial planning software, and Office 365
FAQs
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