Strategic Compliance Leader — Financial Services

Dinsmore Compliance Services; Cincinnati (OH); On-site; USD 150,000 - 230,000; Full time

Job summary

Dinsmore Compliance Services, LLC seeks a Chief Compliance Officer at our Cincinnati, OH location to lead client engagements and form deep relationships as a key member of the client's team. The CCO provides oversight and strategic direction for investment adviser, municipal adviser, and broker-dealer clients.

Responsibilities include maintaining Rule 206(4)-7 compliance programs, coordinating annual reviews and audits, and ensuring regulatory reporting meets requirements.

Qualifications

• Bachelor's degree required; four-year college or university
• 5–7+ years in financial industry compliance and/or operations, preferably in manager/officer roles
• Experience with SEC, FINRA, DOL/ERISA, CFTC regulatory environment

Responsibilities

• Oversee and implement a full-scale compliance program and policies
• Lead client engagements and develop deep client relationships as a CCO
• Ensure regulatory reporting aligns with requirements and client policies
• Provide strategic direction for compliance in client operations and goals
• Manage regulatory inquiries and act as liaison with regulators
• Coordinate annual compliance reviews, training, filings, and audits
• Supervise testing of policies and procedures and monitor for conflicts of interest

Skills

Regulatory compliance

Leadership

Communication skills

Attention to detail

Risk management

Teamwork

Education

Bachelor's degree

Job description

Dinsmore Compliance Services, LLC seeks a Chief Compliance Officer at our Cincinnati, OH location to lead client engagements and form deep relationships as a key member of the client's team. The CCO provides oversight and strategic direction for investment adviser, municipal adviser, and broker-dealer clients.

Responsibilities include maintaining Rule 206(4)-7 compliance programs, coordinating annual reviews and audits, and ensuring regulatory reporting meets requirements.