We are currently partnered with a growing SEC Registered Investment Advisor/Broker Dealer seeking a motivated Deputy CCO to join their growing team. You'll be a key team member, reporting directly up to the CCO, responsible for ensuring the firm's goals and values are upheld.
Director of Compliance Responsibilities:
- Oversee daily management of the firm's compliance program, ensuring adherence to SEC rules and internal policies.
- Apply expertise in the Investment Advisers Act of 1940, Rule 206(4)-7, Suitability Review Requirements, and DOL Rule.
- Supervise nationwide branch offices to meet all legal, regulatory, and firm requirements.
- Monitor and ensure compliance with rules, regulations, and internal policies.
- Maintain strong relationships with peers, executives, and business partners.
- Collaborate with other corporate departments.
- Foster a culture of compliance through guidance and training.
- Promote the firm's mission, vision, and values.
Director of Compliance Qualifications:
- Bachelor's degree (required); JD or compliance certifications (preferred).
- 5+ years of compliance experience with a registered investment advisor, with expertise in SEC marketing rules.
- Strong compliance testing/monitoring experience required
- FINRA Series 7 & 24 certifications preferred
