Position Overview
The Chief Compliance Officer (“CCO”) serves as a senior member of the executive leadership team and is responsible for the design, implementation and oversight of the firm’s enterprise compliance program across its broker-dealer and registered investment adviser businesses.
This role provides strategic leadership in managing regulatory risk, maintaining a strong culture of compliance and ensuring the firm’s supervisory systems, policies and procedures align with applicable FINRA, SEC and state regulatory requirements.
The CCO works closely with senior leadership, legal counsel and regulators to support the firm’s continued growth while maintaining the highest standards of regulatory integrity and investor protection.
Key Responsibilities
Enterprise Compliance Leadership
- Lead and oversee the firm’s enterprise compliance program across its broker-dealer and investment adviser businesses.
- Maintain and enhance the firm’s compliance framework, including Written Supervisory Procedures (“WSPs”), Code of Ethics and other compliance policies required under FINRA, SEC and state regulations.
- Serve as a strategic advisor to executive leadership on regulatory matters, emerging risks and compliance considerations related to the firm’s growth initiatives.
Regulatory Oversight
- Ensure the firm maintains an effective supervisory system designed to achieve compliance with applicable securities laws and regulations, including FINRA Rule 3110.
- Oversee the development, maintenance and testing of supervisory procedures governing the firm’s brokerage, advisory and insurance activities.
- Lead the firm’s regulatory examination and inquiry process, including coordination with FINRA, the SEC and state regulators.
- Serve as the firm’s primary compliance liaison with regulatory authorities.
Compliance Program Administration
- Administer the firm’s compliance program consistent with SEC Investment Advisers Act Rule 206(4)-7, including conducting and documenting the annual review of the investment adviser compliance program.
- Support the firm’s annual compliance certification process in accordance with FINRA Rule 3130.
- Oversee regulatory filings and reporting, including Form ADV, Form CRS and other required filings.
Risk Monitoring and Surveillance
- Implement and oversee compliance monitoring, surveillance and testing programs designed to identify and mitigate regulatory risks.
- Conduct periodic risk assessments across brokerage and advisory activities.
- Oversee processes related to:
- customer complaints
- outside business activities
- private securities transactions
- advertising and marketing review
- electronic communications supervision
Branch Supervision and Inspections
- Oversee the firm’s branch office inspection program and supervisory controls.
- Ensure inspections and supervisory reviews are conducted in accordance with regulatory requirements and internal policies.
Compliance Team Leadership
- Lead, mentor and develop the compliance team.
- Establish departmental goals, key performance indicators and performance management processes.
- Promote a culture of accountability, collaboration and continuous improvement within the compliance organization.
Compliance Training and Culture
- Develop and oversee compliance training programs for registered representatives and employees.
- Foster a strong culture of compliance and ethical conduct across the organization.
- Provide guidance to business leaders on regulatory developments and compliance best practices.
Collaboration with Legal and Executive Leadership
- Collaborate with outside legal counsel and senior leadership to evaluate regulatory developments, legal risks and compliance implications for the firm.
- Provide compliance input on new products, strategic initiatives and business expansion.
- Participate in executive leadership meetings and firm committees, including investment and due diligence committees.
Qualifications and Experience
- Minimum 10 years of experience in securities industry compliance, including leadership roles within a broker-dealer or hybrid broker-dealer/RIA environment.
- Prior experience serving as a Chief Compliance Officer, Deputy CCO or senior compliance executive at a regulated financial services firm.
- Strong working knowledge of FINRA, SEC and state regulatory frameworks governing broker-dealers and investment advisers.
- Demonstrated experience managing regulatory examinations and regulatory inquiries.
- Experience with independent broker-dealer platforms and alternative investments is strongly preferred.
- Proven leadership ability with experience managing and developing compliance teams.
Required Licenses
Candidates must hold or be able to obtain the following FINRA registrations:
- Series 7
- Series 24
- Series 63
- Series 65 or Series 66
Preferred Licenses
Professional Skills
Successful candidates will demonstrate:
- Strong regulatory judgment and risk management expertise
- Exceptional leadership and communication skills
- Ability to work effectively with regulators, executives and advisors
- Strategic thinking combined with practical execution
- High integrity and commitment to investor protection
Compensation and Benefits
Compensation will include a competitive base salary and an annual performance bonus tied to the effectiveness of the firm’s compliance program, regulatory examination outcomes, risk management initiatives and leadership contributions to the firm’s regulatory framework.
Pay: From $130,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Vision insurance
Experience:
- Securities Compliance: 10 years (Required)
License/Certification:
- Series 7, Series 24, Series 63, and Series 65 or Series 66 (Required)
Ability to Relocate:
- Boca Raton, FL 33486: Relocate before starting work (Required)
Work Location: In person
