Deputy CCO - Advisory

Summary

Seeking an experienced Deputy Chief Compliance Officer who will be responsible for oversight of a compliance program for a Registered Investment Adviser (RIA).

This is a senior, hands-on compliance role requiring deep knowledge of SEC regulations, investment advisory compliance,surveillance, supervision, and regulatory examinations.

Responsibilities

• Support the development, implementation, and ongoing enhancement of the RIA compliance program
• Maintain and administer the Firm's Code of Ethics and related policies and procedures
• Monitor SEC regulatory developments and assess their impact on the business
• Conduct compliance monitoring, surveillance, new business, and transaction reviews
• Identify compliance and regulatory risks and implement appropriate controls and corrective actions
• Serve as a key compliance resource for investment professionals and internal stakeholders
• Support regulatory examinations, audits, and information requests, including coordination with outside counsel and consultants
• Oversee remediation and corrective actions resulting from regulatory or internal reviews
• Review and enhance written supervisory and compliance procedures
• Lead compliance initiatives related to new investment products and offerings
• Support compliance training, education, and onboarding of investment professionals
• Partner with Supervision and other internal teams on heightened supervision and client communications

Qualifications

• Bachelor's degree in Finance, Business Administration, or related field
• 8+ years of securities industry experience in compliance and/or a supervisory capacity
• Strong knowledge of SEC regulations and Registered Investment Adviser compliance requirements
• Experience with regulatory examinations, surveillance, supervision, and compliance testing
• Preferred licenses - Series 7 and 24 Series 65
• Strong analytical, organizational, and communication skills
• Bilingual English/Spanish required;

Job Description

Seeking an experienced Deputy Chief Compliance Officer who will be responsible for oversight of a compliance program for a Registered Investment Adviser (RIA).

This is a senior, hands-on compliance role requiring deep knowledge of SEC regulations, investment advisory compliance,surveillance, supervision, and regulatory examinations.

Responsibilities

• Support the development, implementation, and ongoing enhancement of the RIA compliance program
• Maintain and administer the Firm's Code of Ethics and related policies and procedures
• Monitor SEC regulatory developments and assess their impact on the business
• Conduct compliance monitoring, surveillance, new business, and transaction reviews
• Identify compliance and regulatory risks and implement appropriate controls and corrective actions
• Serve as a key compliance resource for investment professionals and internal stakeholders
• Support regulatory examinations, audits, and information requests, including coordination with outside counsel and consultants
• Oversee remediation and corrective actions resulting from regulatory or internal reviews
• Review and enhance written supervisory and compliance procedures
• Lead compliance initiatives related to new investment products and offerings
• Support compliance training, education, and onboarding of investment professionals
• Partner with Supervision and other internal teams on heightened supervision and client communications

Qualifications

• Bachelor's degree in Finance, Business Administration, or related field
• 8+ years of securities industry experience in compliance and/or a supervisory capacity
• Strong knowledge of SEC regulations and Registered Investment Adviser compliance requirements
• Experience with regulatory examinations, surveillance, supervision, and compliance testing
• Preferred licenses - Series 7 and 24 Series 65
• Strong analytical, organizational, and communication skills
• Bilingual English/Spanish required;