Chief Compliance Officer

< back to culture page

We are currently seeking an experienced Chief Compliance Officer (CCO) who will be responsible for managing the compliance department and completing individual duties to ensure the business and the Firm’s activities comply with relevant legal and regulatory requirements. This position develops and implements firm-wide compliance policies and programs under the general direction of the General Counsel and President & CEO. Additional responsibilities include:

  • Develops, implements and monitors compliance policies and programs designed to meet the regulatory requirements for the investment adviser, broker-dealer and registered investment company.
  • Supervises the compliance department in conducting daily, periodic and special compliance reviews involving the analysis of relevant documents, information and records and inquiries of knowledgeable personnel.
  • Reviews, documents, organizes and maintains accurate and complete records substantiating compliance reviews.
  • Interacts proactively with senior management and other departments in designing effective systems, processes and practical business solutions to trading and investing issues.
  • Presents timely reports orally and/or in writing of compliance review findings and conclusions and makes appropriate recommendations for further action.
  • Participates in several inter-departmental committees that address business and risk management responsibilities.
  • Provides practical guidance and advice on regulatory requirements and concerns.
  • Participates in current or prospective client due diligence meetings and prepares responses to compliance-related questions in client requests for information.
  • Serves as the Firm’s liaison with regulators, including the SEC, FINRA, and the NFA, and leads the effort to prepare responses to routine and special requests for information, and manages all regulatory examinations conducted by the Firm’s regulators.


  • Undergraduate degree and 10+ years of securities-related experience; legal, accounting and compliance background is preferred. Advanced degree and experience in an asset management firm preferred.
  • Required Licensing: Series # 7 General Securities Representative, Series # 24 General Securities Principal Examination, Series # 63 Uniform Securities Agent State Law Examination (or equivalent).
  • In-depth knowledge of securities law, with emphasis on regulatory compliance for investment advisors, broker-dealers and investment companies.
  • Strong detail orientation and excellent listening skills.
  • Articulate and persuasive communicator, both verbally and in writing.
  • Must be detail oriented and willing to roll-up-your-sleeves to get the job done.

Qualified candidates should submit a cover letter/email and resume to Reference job code [CCO] when applying.

Apply Now: Submit a Resume and Cover Letter To