Chief Compliance Officer

About the role

We're seeking an experienced Chief Compliance Officer to provide strategic compliance leadership and ensure our regulatory programs continue to support our advisors, clients, and business objectives in a financial services organization with twelve specialized entities.

Responsibilities

• Provide strategic leadership and oversight of the firm's compliance program for both broker-dealer and registered investment adviser activities.
• Ensure compliance with applicable FINRA, SEC, state, and other regulatory requirements.
• Develop, implement, and enhance compliance policies, procedures, and supervisory controls.
• Oversee regulatory filings, examinations, audits, and responses to regulatory inquiries.
• Supervise the review of advertising, correspondence, sales materials, Outside Business Activities (OBAs), and Private Securities Transactions (PSTs).
• Lead branch office and Investment Adviser Representative (IAR) inspection programs.
• Monitor regulatory developments and proactively implement changes to policies, procedures, and technology.
• Partner with executive leadership and business units to provide practical compliance guidance while supporting strategic initiatives.
• Build, mentor, and develop a high-performing compliance team focused on collaboration, accountability, and continuous improvement.
• Design and deliver compliance education, training programs, and communications for advisors and internal associates.
• Foster strong relationships with Financial Services Professionals (FSPs), internal departments, regulators, and external partners.
• Identify opportunities to improve operational efficiency through technology, automation, and process enhancements.
• Perform other duties as assigned.

Requirements

• Bachelor's degree or equivalent combination of education and experience.
• FINRA Series 7, 24, and 66 licenses (or ability to obtain where applicable).
• 10+ years of progressive broker-dealer and/or RIA compliance experience.
• Extensive knowledge of FINRA, SEC, and state securities regulations.
• Demonstrated experience leading enterprise compliance programs and regulatory examinations.
• Strong leadership, communication, analytical, organizational, and decision-making skills.
• Ability to balance regulatory requirements with business objectives while maintaining the highest ethical standards.
• Proven ability to build relationships, influence stakeholders, and lead through change.

Preferred Qualifications

• Additional industry licenses, such as Series 27.
• Experience serving as a Chief Compliance Officer for a broker-dealer and/or registered investment adviser.
• Experience working with compliance technology, surveillance systems, and supervisory controls.
• Background leading regulatory examinations and remediation efforts.
• Experience managing and developing compliance professionals.

Benefits

• Competitive compensation and comprehensive benefits package.
• 4 weeks of accrued PTO, plus 9 paid holidays.
• Medical, dental, vision, life insurance, and 401(k).
• 8 hours of paid Volunteer Time Off (VTO).
• Hybrid schedule with four in-office days and one remote workday per week.
• Ongoing professional development and leadership training.
• A collaborative culture that values integrity, innovation, and continuous growth.