Brokerage and RIA CCO
Core
Lead US investment compliance for an SEC-registered investment adviser and a proposed FINRA broker-dealer, overseeing regulatory programs, supervisory frameworks, and digital investment advice controls.
Role type
Senior IC Chief Compliance Officer (CCO)
Builds
SEC-registered RIA compliance program and FINRA broker-dealer launch framework
Domain
Financial Services / Securities Regulation / Fintech
Required skills
SEC RIA compliance administration, FINRA broker-dealer supervision, FINRA NMA leadership, digital investment platform compliance, automated advice controls, regulatory filing management, conflict of interest controls, clearing broker operations oversight, examination coordination
Preferred skills
Experience with self-directed trading models, algorithm testing oversight, outsourced FINOP coordination
Technologies
None stated
Responsibilities
Administer RIA compliance policies, risk assessment, and annual reviews; Lead FINRA New Member Application and launch preparation; Build supervisory framework for introducing broker-dealer; Oversee compliance for automated investment recommendations; Review marketing materials and communications for regulatory adherence; Manage regulatory filings (Form ADV, CRS, BD); Coordinate with BSA/AML Officer and clearing brokers; Lead regulatory examinations and audits
Seniority
Senior, hands-on IC