As Chief Compliance Officer, you will oversee the compliance programs across our RIA and Broker-Dealer entities, ensuring adherence to SEC, FINRA, and other regulatory requirements. You will be a key member of the executive team, acting as both strategist and hands-on leader—shaping policy, guiding risk management, and embedding compliance into the day-to-day fabric of the firm.
Key Responsibilit
is
• Compliance Leadership: Develop, implement, and continuously improve firm-wide compliance programs for both RIA and Broker-Dealer enti
tis.
• Regulatory Oversight: Ensure strict adherence to all applicable SEC, FINRA, state, and federal regul
atins.
• Risk Management: Conduct regular risk assessments, branch audits, and compliance reviews with actionable insights to address potent
ial aps.
• Regulatory Interface: Act as the primary liaison for all SEC and FINRA exams, audits, and regulatory
inquries.
• Training & Supervision: Design and lead compliance education programs; supervise a growing roster of Investment Adviser Representatives (IARs) and Registered Represent
atives(RRs).
• Policy Development: Create and maintain clear, comprehensive policies and procedures; lead implementation and int
ernal aoption.
• Marketing & Communications Review: Ensure all client-facing content—advertising, sales material, digital marketing—meets comp
liance sandards.
• Dispute & Complaint Management: Oversee client complaints, disclosures, and escalations professional
ly and efectively.
• Executive Collaboration: Partner with leadership to ensure compliance standards are embedded in strategic initiatives across sales, marketing, operations
, and advior growth.
• Hands-On Leadership: Willingness to “get in the trenches” with documentation, procedure design, audits, and external
counsel colboration.
Qualification & Experience
• Education: Bachelor’s degree required; advanced deg
ree or JD strogly preferred.
• Licensing: Series 7, 24, 63/65 or 66 required; ad
ditional FINR
A icenses a plu.
• Experience:
• 10+ years of experience in senior compliance roles within an R
IA and/or Broker-ealer environment
• 5+ years as a C
hief Compliance Oficer or equivalent
• Broad exposure to compliance decision-making
across marketing, sles, and operations
• Demonstrated success guid
ing firms through SE and/or FINRA audits
• Comfortable working directly
with outside counseland regulatory bodies
• Prior experience with the SEC or FINR
A (employment or liaisn) is highly favorable
• Legal back
ground prfrred but not equired
What We Offer
• Competitive executiv
e-level compensation and prformance-based incentives
• Opportunities for professional growth and l
eadership within a high-perorming, client-focused firm
• A company culture roote
d
in innovatio
n, collaboratin and client-entric ethics
How to Apply
If you’re a seasoned compliance leader ready to elevate a firm’s regulatory standards while contributing to strategic growth, we’d love to hear from you. Please submit your resume and c
over letter to Mavenopssolutions@gmail.com with the subject line:
“Chief Compliance f
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