CCO: Regulated Broker-Dealer & RIA Leader

Truist; Charlotte (NC); On-site; USD 200,000 - 290,000; Full time

Benefits offered by this job

Medical and dental insurance

401(k) plan

Paid vacation and sick days

Job summary

A prominent financial services company is seeking a Chief Compliance Officer responsible for leading compliance for investment services. The role involves regulatory management, policy oversight, and team leadership, ensuring adherence to SEC and FINRA standards. The candidate should possess 15 years of experience in compliance and risk management and a bachelor’s degree. The position offers a salary range of $200,000 - $290,000 and comprehensive benefits including medical, dental, and paid leave.

Qualifications

• Bachelor's degree or equivalent education and related training.
• 15 years of financial industry experience, including compliance/risk management.
• Strong analytical, organizational, and time management skills.

Responsibilities

• Lead the integrated compliance program for the firms.
• Serve as the primary point of contact for regulators.
• Oversee the supervisory control framework and compliance risks.

Skills

Regulatory compliance

Risk management

Communication

Analytical skills

Leadership

Team management

Education

Bachelor's degree

Master's or Juris Doctor

Tools

Microsoft Office

Job description

A prominent financial services company is seeking a Chief Compliance Officer responsible for leading compliance for investment services. The role involves regulatory management, policy oversight, and team leadership, ensuring adherence to SEC and FINRA standards. The candidate should possess 15 years of experience in compliance and risk management and a bachelor’s degree. The position offers a salary range of $200,000 - $290,000 and comprehensive benefits including medical, dental, and paid leave.