Hybrid Chief Compliance Officer - FinReg Leader (Remote)

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

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.