Chief Compliance Officer
Larson Maddox · United States · 2 days ago
RemoteRemoteFinanceFull-time
Key Responsibilities
- Serve as the senior compliance leader and primary contact for regulatory matters and examinations.
- Oversee and continuously improve the firm's compliance program, including policies, testing, surveillance, risk assessments, and regulatory filings.
- Lead compliance oversight for marketing, communications, AML/KYC, Code of Ethics, and employee compliance programs.
- Provide regulatory guidance on new products, business initiatives, technology implementations, and operational changes.
- Manage SEC, FINRA, and state regulatory examinations, audits, and inquiries.
- Partner with legal, operations, technology, and business teams to strengthen controls and automate compliance processes.
- Help shape a scalable compliance infrastructure that supports future growth.
Desired Background
- JD required
- 10+ years of compliance experience
- Strong knowledge of SEC and FINRA regulations
- Experience with private funds, alternative investments, Regulation D offerings, and investor onboarding processes is highly preferred
- Proven ability to build, lead, and scale compliance programs in a dynamic environment
- Strong communication skills and experience interfacing directly with regulators and senior leadership
- Series 7 and Series 24 or the willingness to obtain