The Organization:

Confidential

The Position:

A fast-growing national RIA, headquartered in the Southeastern U.S., is seeking an accomplished Chief Compliance Officer (CCO) to continue evolving and strengthening their compliance program in alignment with the firm’s rapid growth through acquisitions and expansion as a multi-state RIA. This role serves as the primary liaison with regulatory bodies, fosters a culture of compliance and ethical behavior across the organization, and leads a high-performing compliance team by delegating responsibilities to ensure operational excellence and scalability. 

Responsibilities:

• Develop, update, and uphold compliance policies and procedures aligned with regulatory requirements and industry best practices; ensure clear communication across the organization
• Interpret, implement, and monitor compliance with all applicable regulations; stay current on regulatory changes and assess their impact 
• Oversee the administration of policies and procedures designed to prevent violations of laws, regulations, and internal standards
• Ensure timely and accurate submission of all required regulatory filings 
• Design and execute regular compliance testing and ongoing monitoring of programs 
• Provide comprehensive compliance training to employees to promote a culture of compliance awareness and ethical behavior
• Act as the primary liaison for regulatory examinations and audits; coordinate responses and address findings or recommendations
• Oversee compliance-related due diligence for new business initiatives and highlight areas of concern
• Lead the compliance team, delegate responsibilities, and ensure team members are equipped to meet organizational compliance objectives
• Maintain accurate records of compliance activities; prepare timely and detailed reports for senior leaders
• Collaborate with other departments to identify and manage compliance-related risks, including cyber risks; advise on potential risks associated with new services or business initiatives 
• Travel: approximately 10-25%

Qualifications:

• Bachelor’s degree in Business, Finance, Law, or a related field (Master’s or JD preferred). 
• 10–15 years of progressive experience in compliance, regulatory affairs, or risk management within financial services, with at least 5+ years in a senior leadership or CCO role at a firm of at least 15 billion in AUM 
• Experience managing regulatory examinations and audits, including SEC and state regulators
• Deep knowledge of SEC regulations and compliance requirements for registered investment advisers
• Strong leadership skills with experience building and mentoring high-performing compliance teams
• Exceptional communication and collaboration skills to influence stakeholders across a growing organization
• Proven track record of scaling compliance programs during periods of growth or acquisition is highly desirable

Salary & Benefits:

• Comprehensive Health, Dental, and Vision coverage to support your overall well-being
• 401(k) retirement plan with match and profit sharing to help you invest in your future
• Twelve paid holidays each year
• An extra vacation day during your birthday week
• Responsible Time Off Policy giving flexibility without annual PTO limits, while balancing team responsibilities and business needs  
• Paid sabbatical program: Enjoy four consecutive weeks of paid time off after seven years of service
• Compensation commensurate with experience

#IND2