Strategic Chief Compliance Officer: Growth & Risk Leader

Drake & Associates; Goerke's Corners (WI); On-site; USD 150,000 - 230,000; Full time

Job summary

Drake & Associates is seeking an experienced Chief Compliance Officer (CCO) to lead the firm's compliance program. As the primary compliance professional and a member of the Leadership Team, the CCO will serve as both hands-on expert and strategic partner.

The role oversees regulatory filings, testing, audits, training, and policy development, partnering with executives to identify risk and implement practical solutions that support growth while protecting the firm and its clients.

Qualifications

• Bachelor's degree in Business, Finance, Accounting, Legal Studies, Political Science, or related field.
• 7+ years of progressive compliance, supervision, or regulatory experience in financial services.
• Experience within or supporting a Registered Investment Adviser (RIA).
• Strong knowledge of SEC regulations for investment advisers.
• Hands-on experience with compliance testing, audits, risk assessments, and regulatory filings.
• Experience with advertising/marketing compliance, Code of Ethics, personal securities disclosures.

Responsibilities

• Own and manage the firm's compliance program and records.
• Develop and execute testing, monitoring, annual reviews, audits, and risk assessments.
• Identify gaps, implement corrective actions, track remediation.
• Manage SEC filings and prepare for regulatory examinations and audits.
• Review advertising/marketing for SEC compliance.
• Oversee employee compliance incl. licensing, Code of Ethics, and disclosures.
• Monitor regulatory developments and update policies and practices.
• Develop and deliver training and be the primary compliance resource.
• Serve on Leadership Team and advise on regulatory risk and growth.
• Partner to strengthen compliance processes while balancing business needs.

Skills

Regulatory compliance

Stakeholder communication

Independent work

Leadership

Education

Bachelor's degree

Job description

Drake & Associates is seeking an experienced Chief Compliance Officer (CCO) to lead the firm's compliance program. As the primary compliance professional and a member of the Leadership Team, the CCO will serve as both hands-on expert and strategic partner.

The role oversees regulatory filings, testing, audits, training, and policy development, partnering with executives to identify risk and implement practical solutions that support growth while protecting the firm and its clients.