Brokerage and RIA Chief Compliance Officer

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