Compliance Leadership Officer

Compliance Leadership Officer About the Company Join an innovative financial services firm that is transforming the industry. Industry Financial Services About the Role We are on the lookout for a proactive Compliance Leadership Officer to drive our risk-based compliance program and ensure all regulatory obligations are met. In this pivotal role, you will create, implement, and maintain a comprehensive compliance framework while developing written supervisory procedures and related policies. You will work closely with our leadership team to mitigate risks, manage regulatory examinations, and ensure compliance across our advisory and brokerage operations. The ideal candidate will possess at least 10 years of senior compliance experience in a dually registered RIA/Broker-Dealer environment. We place a high value on candidates who have served as a CCO or de facto CCO. Essential qualifications include Series 7, 24, and 66 licenses, with a JD seen as advantageous, along with in-depth knowledge of SEC and FINRA regulatory standards. This role requires a proven ability to manage regulatory obligations, strong regulatory insight, and experience overseeing external vendors. As the Compliance Leadership Officer, you will offer practical guidance on compliance issues, evaluate new business initiatives, and lead our compliance team in delivering comprehensive training programs. A mindset focused on building continuous improvements and a commitment to accountability will be crucial for your success. This is a hybrid role, necessitating occasional onsite attendance at leadership meetings and minimal travel (less than 10%) to branch offices. Key Functions Finance

Created: 2026-03-11