Strategic Chief Compliance & Risk Leader

Drake & Associates, LLC; Milwaukee (WI); Sur place; USD 150 000 - 230 000; Plein temps

Résumé du poste

Drake & Associates, LLC seeks an experienced Chief Compliance Officer to lead the firm's compliance program as a hands-on expert and strategic partner. This senior role requires owning daily compliance activities, managing regulatory filings, audits, and risk assessments, and advising leadership on risk and growth opportunities.

The CCO will develop policies, monitor advertising compliance, oversee licensing and disclosures, and deliver training to employees and advisors, partnering across the

Qualifications

• Bachelor's degree in a related field.
• 7+ years of progressive compliance or regulatory experience in financial services.
• Experience with Registered Investment Adviser (RIA) environments.
• Strong knowledge of SEC regulations for investment advisers.
• Ability to translate regulatory requirements into practical business solutions.

Responsabilités

• Own and manage the firm's compliance program and records.
• Lead regulatory filings and examinations preparation.
• Develop compliance testing, monitoring, and risk assessments.
• Review advertising and marketing for SEC compliance.
• Oversee licensing, ethics, personal securities disclosures.
• Deliver compliance training and support employees/advisors.
• Advise Leadership Team on regulatory risk and growth.
• Collaborate across the organization to scale processes.

Connaissances

Regulatory compliance

SEC regulations

Risk assessment

Compliance testing

Audits

Policy development

Leadership communication

Formation

Bachelor's degree in Business/Finance/Accounting/Legal Studies/Political Science

Outils

Regulatory reporting software

Compliance monitoring software

Description du poste

Drake & Associates, LLC seeks an experienced Chief Compliance Officer to lead the firm's compliance program as a hands-on expert and strategic partner. This senior role requires owning daily compliance activities, managing regulatory filings, audits, and risk assessments, and advising leadership on risk and growth opportunities.

The CCO will develop policies, monitor advertising compliance, oversee licensing and disclosures, and deliver training to employees and advisors, partnering across the