Brokerage and RIA Chief Compliance Officer
Posted Updated
Description
You will lead securities compliance activities for an SEC-registered investment adviser and an introducing broker-dealer. You will administer compliance programs, develop supervisory procedures, oversee digital investment-advice controls, manage regulatory filings and examinations, and coordinate operational compliance with internal stakeholders and external providers.
Responsibilities
- Administer the RIA compliance program, including policies, risk assessments, monitoring, testing, annual reviews, and compliance calendars
- Lead the FINRA New Member Application and launch-readiness process
- Develop written supervisory procedures and lead the broker-dealer compliance framework
- Oversee controls for automated investment advice and self-directed trading
- Review investment marketing, promotions, app content, and customer communications
- Manage Form ADV, Form CRS, Form BD, registrations, continuing education, and customer disclosures
- Maintain codes of ethics and controls for personal trading, outside business activities, gifts, and conflicts
- Oversee introducing and clearing broker compliance, account opening, order handling, transfers, and complaints
- Maintain books and records, communications retention, privacy, safeguarding, and incident-response controls
- Lead SEC and FINRA examinations, audits, remediation, and employee training
Requirements
- 10+ years of progressive securities compliance experience
- Prior service as CCO for an SEC-registered investment adviser or FINRA broker-dealer
- FINRA Series 24 qualification
- Experience supporting or leading a FINRA New Member Application
- Knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules
- Experience with fully disclosed introducing broker-dealers and clearing firms
- Experience administering RIA annual reviews, marketing reviews, conflicts controls, codes of ethics, regulatory filings, and examinations
- Experience with digital investment platforms, automated advice, and self-directed brokerage
- Ability to coordinate with a BSA/AML Officer and outsourced FINOP
- Strong writing, regulatory engagement, decision-challenging, and communication skills
Benefits
- Equity
- Flexible PTO
- Sign-on equity bonus
- Hybrid working arrangement
- Access to modern technology tools