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CCO - RIA Compliance
Highly Competitive Compensation
About Our Client
My client provides a full service (technology, finance, marketing, compliance, practice management) platform for registered investment advisers at top financial firms to go independent. They are the market leading organization.
- In this role you will oversee investment compliance both internally and for external, "in-network" RIAs.
- Due to their stellar reputation and execution, this organization has brought on so many new clients, so rapidly, that they are currently hiring for a Deputy CCO to assist their CCO with their high volume of work.
- You'll interface with multiple, different business lines (technology, finance, marketing, compliance, practice management) and will be responsible for setting independent compliance policy and procedures.
- This is the right role for the entrepreneurial professional who can handle challenges at a break-neck speed.
The Successful Applicant
- 7+ years experience in compliance within financial services.
- Vast knowledge of contemporary regulations and the ability to interpret and implement them.
- High-level interpersonal skills.
What's on Offer
- Full benefits: health, vision, dental
- Daily, catered lunch
- Car and cell phone budget