Chief Compliance Officer

Caldwell Sutter Capital, Inc.; Sausalito (CA); On-site; USD 160,000 - 300,000; Full time

Benefits offered by this job

Comprehensive benefits package

Annual bonuses and performance incentives

Support for continuing education and licensing

Flexible work arrangements

Job summary

A growing financial services firm is seeking a Chief Compliance Officer in Sausalito, CA, to oversee compliance with SEC and FINRA regulations. The ideal candidate will have 5-15+ years of experience and must possess necessary FINRA licenses. This role balances strategic leadership with hands-on execution, offering a competitive compensation package of $175,000 – $325,000+, including benefits. Flexible work arrangements may be available for qualified candidates.

Qualifications

• 5–15+ years of compliance experience within a broker-dealer and/or RIA.
• Strong working knowledge of SEC and FINRA regulatory frameworks.
• Experience managing regulatory examinations and strong attention to detail.

Responsibilities

• Oversee compliance for both broker-dealer and RIA.
• Manage regulatory exams, audits, and inquiries.
• Provide compliance training and education.

Skills

Compliance experience

Knowledge of SEC and FINRA regulations

Strong organizational skills

Regulatory judgment

Education

FINRA Series 7 license

FINRA Series 24 license

Series 66 or 65 preferred

Job description

Overview

Compensation: $175,000 – $325,000+ total compensation, depending on experience, licensing, and scope of responsibility

Chief Compliance Officer
Caldwell Sutter Capital

Location: Sausalito, CA (Preferred) | Hybrid / Remote Considered

Compensation: $175,000 – $325,000+ total compensation, depending on experience, licensing, and scope of responsibility

About Caldwell Sutter Capital

Caldwell Sutter Capital is a growing, dually registered financial services firm operating as both a FINRA regulated broker-dealer and an SEC registered investment advisor. As part of our continued growth, we are separating the Chief Compliance Officer and Chief Financial Officer roles and are seeking an experienced Chief Compliance Officer to lead our compliance function.

The firm maintains an established compliance program supported by executive leadership and external resources. We are seeking a CCO who will retain full accountability for the program while ensuring it continues to scale effectively with the firm.

Position Overview

The Chief Compliance Officer will oversee compliance for both the broker-dealer and the RIA, ensuring ongoing adherence to SEC, FINRA, and applicable state regulations. While certain compliance activities are supported by external service providers, this role maintains overall responsibility for oversight, review, and completion of all compliance obligations.

This position is well suited for a seasoned compliance professional who is comfortable balancing hands-on execution with strategic leadership and continuous improvement.

Key Responsibilities

• Serve as Chief Compliance Officer for both the broker-dealer and registered investment advisor
• Maintain overall responsibility for the firm’s SEC and FINRA compliance programs
• Ensure all compliance-related tasks and regulatory obligations are completed accurately and on time, including those supported by external resources
• Oversee compliance policies, procedures, and internal controls, and recommend enhancements as appropriate
• Act as primary liaison with FINRA, SEC, and state regulators
• Lead and manage regulatory examinations, audits, and inquiries
• Oversee regulatory filings, disclosures, and reporting obligations
• Monitor regulatory developments and advise executive leadership on implications for the firm
• Provide compliance guidance in support of business initiatives and growth
• Deliver firm-wide compliance training and education
• Oversee licensing, registrations, and continuing education requirements
• Coordinate with external advisors and service providers as needed

Qualifications & Experience

• 5–15+ years of compliance experience within a broker-dealer and/or RIA
• Prior experience as a Chief Compliance Officer or senior compliance leader strongly preferred
• Strong working knowledge of SEC and FINRA regulatory frameworks
• Required FINRA licenses (or ability to obtain promptly):
• Series 7 – required
• Series 24 – required
• Series 66 or 65 preferred
• Demonstrated experience managing regulatory examinations
• Strong organizational skills, attention to detail, and regulatory judgment
• Ability to work effectively with executive leadership and external partners
• Practical, risk-based approach to compliance

Compensation & Benefits

• Base Salary Range: $160,000 – $300,000+
• Total Compensation Potential: $175,000 – $325,000+, including:
• Annual bonus and/or discretionary performance incentives
• Potential long-term incentives or profit participation for senior candidates
• Comprehensive benefits package
• Support for continuing education and licensing
• Flexible work arrangements for the right candidate

Location & Work Style

• Sausalito, CA (in-person preferred)
• Hybrid or remote arrangements may be considered for highly qualified candidates with relevant dual-registration experience

Why Join Caldwell Sutter Capital

• Established compliance infrastructure with executive support
• Clear accountability and authority for the CCO role
• Balance of strategic leadership and practical execution
• Competitive, flexible compensation aligned with experience
• Professional, collaborative culture focused on integrity and growth