Executive Chief Compliance Officer - Regulatory & AML Leader

Revolt Financial; United States; On-site; USD 180,000 - 260,000; Full time

Benefits offered by this job

Competitive compensation and benefits

Commitment to continuing education

Inclusive workplace culture

Job summary

A financial services firm is seeking a Chief Compliance Officer to lead the compliance program. This executive role involves overseeing regulatory compliance, managing interactions with regulators, and ensuring adherence to organizational standards. The ideal candidate has over 5 years of leadership experience, strong regulatory knowledge, and excellent communication skills. Competitive compensation and a commitment to professional growth are offered.

Qualifications

• 5+ years of compliance leadership experience within a regulated financial services environment.
• Strong knowledge of broker-dealer or investment compliance and supervisory frameworks.
• Experience interacting directly with regulators and managing regulatory examinations.

Responsibilities

• Own and enhance the firm’s supervisory procedures, control framework, and risk assessment processes.
• Act as the firm’s primary regulatory contact and manage required filings.
• Lead the review and approval of marketing and client-facing materials.

Skills

Regulatory expertise

Leadership

Communication skills

Proactive leadership style

Education

Series 24

Series 7

Series 14 (preferred)

Job description

A financial services firm is seeking a Chief Compliance Officer to lead the compliance program. This executive role involves overseeing regulatory compliance, managing interactions with regulators, and ensuring adherence to organizational standards. The ideal candidate has over 5 years of leadership experience, strong regulatory knowledge, and excellent communication skills. Competitive compensation and a commitment to professional growth are offered.