Job Description

Multi-Billion AUM RIA

Multi-Billion AUM RIA seeks a Chief Compliance Officer to provide executive
leadership and strategy over compliance, risk management, control & operations.

The CCO will oversee regulatory compliance and play a key role in the diligence and
integration of all acquired businesses for a firm that has been growing extensively
through acquisitions.

Highlights

• Oversee all compliance, regulatory interaction and audit functions for a fast
  growing, multi-billion AUM RIA
• Develop and implement an overall strategic vision for the compliance functional
  areas in an entrepreneurial, growth minded culture
• Proactively collaborate with Sales, Legal, Marketing, Operations, and other
  departments to ensure compliance issues are resolved
• Manage the compliance review of all marketing materials produced by the firm.
• Competitive base compensation, profit and performance driven bonuses and
  excellent benefits

Requirements

• 5+ years’ RIA compliance or Law Firm SEC compliance experience