Chief Compliance Officer, Wealth Management
About the Company
Market-leading tax, audit & business advisory firm
Industry
Accounting
Type
Privately Held, Private Equity-backed
Founded
1952
Employees
1001-5000
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to join its dynamic Wealth Management team. The CCO will be responsible for leading the firm's compliance program in accordance with the Investment Advisers Act of 1940, maintaining and updating all related policies and procedures, and overseeing the firm's compliance testing and monitoring program. This role also involves developing and delivering employee compliance training, managing regulatory filings, and ensuring the firm's adherence to ERISA regulations. The ideal candidate will have a minimum of 10 years' experience in compliance within the RIA or broader financial services industry, with a strong preference for those with experience in ERISA-related compliance and M&A integration. A Bachelor's degree is required, with a JD or advanced compliance certifications preferred. The successful candidate will be a proactive, detail-oriented leader with a proven track record in managing regulatory examinations and leading compliance programs. They will be expected to identify and mitigate compliance and operational risks, chair the firm's Risk Committee, and lead compliance due diligence for all M&A activities. Stakeholder engagement is also a key aspect of the role, as the CCO will be the primary point of contact for regulatory examinations and audits. The position demands a candidate who is highly organized, thrives in a dynamic, entrepreneurial environment, and is committed to continuous improvement and operational excellence. The CCO will work closely with business leaders to ensure the consistent adoption of the company's compliance standards and will be aligned with the mission to deliver an elite client experience.
Hiring Manager Title
CEO
Travel Percent
Less than 10%
Functions
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