Chief Compliance Officer (CCO)

Chief Compliance Officer (CCO)About the Company Progressive financial services firm IndustryFinancial Services TypePrivately HeldAbout the Role The Company is in search of a Chief Compliance Officer (CCO) to lead its risk-based compliance program and ensure that the firm meets all regulatory obligations. The CCO will be responsible for the design, implementation, and execution of the compliance framework, including the maintenance of written supervisory procedures and related policies. This role involves close partnership with the leadership team to reduce risk, leading regulatory examinations, and overseeing the compliance of advisory and brokerage activities. The ideal candidate will have a minimum of 10 years' senior compliance experience in a dually registered RIA/Broker-Dealer environment, with a strong preference for those who have previously served as a CCO or de facto CCO. Applicants for the CCO position at the company should possess a Series 7, 24, and 66, with a JD being a plus, and have a deep working knowledge of SEC and FINRA regulatory expectations. The role requires a proven ability to manage regulatory obligations, strong regulatory judgment, and experience in managing external vendors. The CCO will also be expected to provide practical guidance on compliance matters, assess new initiatives, and lead the compliance team in delivering training. A builder mindset, with a focus on continuous improvement and a strong sense of accountability, is essential. The position is hybrid, with a need for onsite participation in leadership meetings and periodic travel to branch offices. Travel PercentLess than 10% Functions Finance

Created: 2026-03-05