Chief Compliance Officer
About the Company
Strategic holding company acquiring and indefinitely managing various professional service businesses
Industry
Capital Markets
Type
Privately Held
Founded
2017
Employees
11-50
Categories
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for designing, establishing, and leading a comprehensive compliance function that aligns with the company's strategic goals. This pivotal role involves ensuring regulatory adherence, managing risk, and fostering a culture of integrity. The Chief Compliance Officer will work closely with the executive team to develop and implement processes that enhance efficiency and mitigate risk, particularly in the RIA space. The role demands a candidate who is commercially minded, capable of acting as a liaison with regulatory bodies, and can conduct compliance due diligence for each acquisition. Person requirements include unquestionable integrity, a proactive and results-oriented attitude, and the ability to work in a fast-paced, PE-backed business or similar context. A minimum of 6 years' of experience in compliance roles within the financial services industry, with a strong preference for RIA experience, is required, along with a JD. The ideal candidate will have a proven track record in standing up compliance management systems in an RIA environment and a deep understanding of legal processes related to RIAs. The Chief Compliance Officer should be an excellent trainer, educator, and a strong communicator, with the ability to manage and educate teams on compliance best practices. Certifications such as Certified Compliance and Ethics Professional (CCEP) are preferred. The company is committed to diversity, equity, and inclusion and encourages candidates from a range of backgrounds to apply.
Hiring Manager Title
CEO
Travel Percent
Less than 10%
Functions
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