Head of Compliance

Head of Compliance About the Company Join a progressive financial services firm that is redefining the industry. Industry Financial Services Type Privately Held About the Role We are seeking a dynamic Head of Compliance to spearhead our risk-based compliance program and ensure adherence to all regulatory obligations. In this exciting role, you will design, implement, and execute a robust compliance framework while maintaining written supervisory procedures and related policies. You will collaborate closely with our leadership team to mitigate risks, lead regulatory examinations, and oversee compliance within our advisory and brokerage operations. The ideal candidate will bring a minimum of 10 years of senior compliance experience within a dually registered RIA/Broker-Dealer environment. We highly value candidates with previous experience as a CCO or de facto CCO. Essential qualifications include holding Series 7, 24, and 66 licenses, with a JD considered a plus, alongside extensive knowledge of SEC and FINRA regulatory standards. This role demands a proven ability to manage regulatory obligations, strong regulatory acumen, and experience in overseeing external vendors. As the Head of Compliance, you will provide practical guidance on compliance issues, assess new business initiatives, and lead our compliance team in delivering comprehensive training programs. A builder mindset focused on continuous improvement and a commitment to accountability are key to your success. This position is hybrid, requiring occasional onsite participation in leadership meetings and minimal travel (less than 10%) to branch offices. Key Functions Finance

Created: 2026-03-06