Job Description
Job DescriptionPosition Overview
We are seeking an experienced Chief Compliance Officer (CCO) to lead the compliance function for a growing financial services firm. This individual will oversee the development, implementation, and monitoring of all compliance policies and procedures, ensuring the organization meets its regulatory obligations at both the federal and state levels.
The ideal candidate will bring strong knowledge of Broker-Dealer operations, regulatory frameworks, and best practices under the Investment Advisers Act of 1940.
Key Responsibilities
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Lead the design and management of the firm’s compliance program
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Ensure compliance with all applicable regulations, including SEC, FINRA, and state requirements
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Conduct internal audits and testing of compliance procedures
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Act as liaison with the Broker-Dealer and serve as the point of contact for regulatory matters
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Oversee regulatory filings and firm registrations (including FINRA Gateway, Forms BD, U4s, U5s)
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Supervise the Mainspring Compliance Team and ensure completion of annual location reviews
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Monitor for potential violations, investigate concerns, and implement corrective actions
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Provide training and educational resources to employees regarding compliance obligations
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Review and approve marketing and client-facing materials for regulatory adherence
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Develop and maintain compliance documentation, policies, and supervisory procedures
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Manage interactions with regulatory agencies during audits, examinations, and inquiries
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Collaborate with senior leadership to identify and mitigate compliance risks
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Evaluate and adopt technology tools for compliance monitoring and reporting
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Ensure timely completion of the regulatory compliance calendar and all required filings
Required Qualifications
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Active FINRA registrations: Series 7, 66, 9, and 10
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Experience with Broker-Dealer and Investment Adviser compliance
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Familiarity with FINRA, SEC, and state regulatory requirements
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Strong leadership and organizational skills
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Excellent written and verbal communication abilities
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Ability to manage multiple priorities and work independently
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Attention to detail and ability to develop practical compliance solutions
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Previous experience managing regulatory exams and audits is preferred
Please submit your resume for consideration. Qualified candidates will be contacted directly.