Multi-Billion AUM RIA

Overview
Multi-Billion AUM RIA seeks a Chief Compliance Officer to provide executive
leadership and strategy over compliance, risk management, control & operations.

The CCO will oversee regulatory compliance and play a key role in the diligence and
integration of all acquired businesses for a firm that has been growing extensively
through acquisitions.

Highlights

Oversee all compliance, regulatory interaction and audit functions for a fast
growing, multi-billion AUM RIA
Develop and implement an overall strategic vision for the compliance functional
areas in an entrepreneurial, growth minded culture
Proactively collaborate with Sales, Legal, Marketing, Operations, and other
departments to ensure compliance issues are resolved
Manage the compliance review of all marketing materials produced by the firm.
Competitive base compensation, profit and performance driven bonuses and
excellent benefits

Requirements

5+ years’ RIA compliance or Law Firm SEC compliance experience

Leah Yosef International jobs

Chief Compliance Officer (Filled)