Chief Compliance Officer - Remote

Overview

The Chief Compliance Officer (CCO) is responsible for developing, implementing, and maintaining a comprehensive compliance program that meets all regulatory requirements, serving as a key advisor on compliance-related matters.

In Short

• Develop and maintain the firm's compliance program.
• Conduct regular compliance reviews and audits.
• Oversee compliance policies and procedures.
• Provide compliance training to employees.
• Serve as the primary contact with regulatory agencies.
• Manage compliance record keeping requirements.
• Stay updated on regulatory changes.
• Provide guidance on compliance-related matters.
• Oversee compliance-related vendors.
• Develop a strong compliance culture.

Requirements

• Bachelor's degree in business, finance, law, or related field.
• Minimum of 5 years of compliance experience within an RIA.
• Strong knowledge of investment adviser regulations.
• Experience in developing compliance programs.
• Excellent communication and presentation skills.
• Strong analytical and problem-solving abilities.
• Ability to work independently and in a team.

Benefits

• Unlimited PTO.
• Medical, Dental, Vision, and Disability insurance.
• 5% 401(k) Match.
• Paid maternity leave.
• Paid paternity leave.