We are seeking an Investment Advisory Chief Compliance Officer to play a key leadership role within the compliance function of an established Registered Investment Adviser (RIA).
This position is ideal for a seasoned compliance professional with extensive SEC regulatory knowledge, strong supervisory experience, and a hands-on approach to managing compliance risk within an investment advisory environment.
Responsibilities
- Assist in leading and executing the firm's RIA compliance program, ensuring alignment with SEC regulations and industry best practices.
- Evaluate and strengthen compliance policies, internal controls, and supervisory procedures to address evolving regulatory requirements.
- Oversee ongoing compliance surveillance, monitoring, testing, and reviews of advisory activities and transactions.
- Manage the administration and enforcement of the firm's Code of Ethics, including personal trading and conflicts-of-interest oversight.
- Play a leading role in SEC examinations, regulatory inquiries, and internal audits, including coordinating responses and remediation efforts.
- Provide guidance to investment advisers and business leaders on regulatory matters, supervisory obligations, and compliance risks.
- Assess regulatory implications associated with new products, investment strategies, and business initiatives.
- Identify potential compliance deficiencies and implement practical, risk-based solutions.
- Partner with internal supervision teams on heightened oversight, escalations, and client-related compliance matters.
- Develop and deliver compliance training to investment professionals and other stakeholders.
- Track regulatory developments and proactively recommend enhancements to the compliance program.
Qualifications
- 8+ years of relevant compliance experience within the securities, investment advisory, or wealth management industry.
- Comprehensive knowledge of SEC regulations and the regulatory framework governing Registered Investment Advisers.
- Demonstrated experience with SEC examinations, compliance surveillance, regulatory testing, and supervisory controls.
- Strong understanding of investment advisory operations, regulatory risk management, and compliance program administration.
- FINRA Series 7, 24, and/or Series 65 licenses preferred.
- Bachelor's degree in Finance, Business Administration, or a related discipline.
- Ability to operate independently in a senior, hands-on compliance capacity.
- Fluency in English and Spanish required.
Investment Advisory CCO in Miami at Ascendo Resources
This position is listed as full time and onsite. It was posted last week.