Chief Compliance Officer

Florida Financial Advisors; Tampa (FL); Vor Ort; USD 150.000 - 230.000; Vollzeit

Zusammenfassung

A fast-growing financial services firm is seeking a Chief Compliance Officer (CCO) to manage compliance functions for its RIA and Broker-Dealer operations. The ideal candidate will have strong leadership, communication, and organizational skills, along with required licenses and a bachelor's degree in Finance or related field. The CCO will oversee compliance with regulatory standards and lead the culture of ethical conduct within the organization.

Qualifikationen

• Fully licensed and in good standing: SIE, Series 6, Series 26, Series 65, Series 24.
• Experience in a senior compliance role within a hybrid RIA/Broker-Dealer environment.
• Experience in a senior compliance role within a hybrid RIA/Broker-Dealer environment.
• Strong leadership, communication, and organizational skills.

Aufgaben

• Serve as the designated Chief Compliance Officer for the firm’s hybrid RIA and Broker-Dealer operations.
• Oversee compliance with SEC, FINRA, and applicable state securities regulations.
• Maintain responsibility for regulatory filings, disclosures, exams, inquiries, and remediation efforts.
• Develop, implement, and maintain compliance policies, procedures, and Written Supervisory Procedures (WSPs).
• Oversee supervision of advisor activity and client suitability reviews.
• Lead compliance training and foster a strong culture of ethical conduct.
• Partner with executive leadership on firm growth and strategy.

Kenntnisse

Leadership

Communication

Organizational skills

Policy development

Strategic oversight

Ausbildung

Bachelor’s degree in Finance, Business, Accounting, or related field

Jobbeschreibung

Florida Financial Advisors (FFA) is a fast-growing financial services firm specializing in comprehensive financial planning and wealth management for working professionals. Founded in 2017, FFA has expanded nationally with advisors across Florida and multiple major U.S. markets. Our mission is to elevate individuals to the highest possible level in both career and life—through disciplined planning, ethical advice, and regulatory excellence.

Position Summary

The Chief Compliance Officer (CCO) is a senior executive responsible for overseeing and managing the compliance functions for both the Registered Investment Adviser (RIA) and Broker-Dealer (BD) components of Florida Financial Advisors. This role is accountable for ensuring full compliance with all applicable SEC, FINRA, and state regulatory requirements and for maintaining an effective supervisory and risk management framework across the hybrid platform.

Key Responsibilities

• Serve as the designated Chief Compliance Officer for the firm’s hybrid RIA and Broker-Dealer operations.
• Oversee compliance with SEC, FINRA, and applicable state securities regulations.
• Maintain responsibility for regulatory filings, disclosures, exams, inquiries, and remediation efforts.
• Develop, implement, and maintain compliance policies, procedures, and Written Supervisory Procedures (WSPs).
• Oversee supervision of advisor activity and client suitability reviews.
• Lead compliance training and foster a strong culture of ethical conduct.
• Partner with executive leadership on firm growth and strategy.

Licensing & Qualifications (Required)

• Bachelor’s degree in Finance, Business, Accounting, or related field.
• Fully licensed and in good standing: SIE, Series 6, Series 26, Series 65, Series 24.
• Experience in a senior compliance role within a hybrid RIA/Broker-Dealer environment.
• Strong leadership, communication, and organizational skills.