Job Description

Chief Compliance Officer

About the Company

Progressive RIA

Industry
Investment Management

Type
Privately Held

About the Role

The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for implementing and maintaining a comprehensive investment advisory compliance program to ensure adherence to various securities acts and related regulations. This includes providing expert compliance and regulatory advice, identifying and prioritizing compliance risks, and developing policies and procedures to address them. The role also involves training staff on compliance matters, administering the company's Code of Ethics, and coordinating internal audits and regulatory exams. Applicants for the Chief Compliance Officer position at the company should have a strong background in compliance within the financial services industry, particularly with a focus on investment advisory and securities regulations. The role requires the ability to work closely with senior leaders, business teams, and legal to manage conflicts of interest and provide strategic direction for compliance. The ideal candidate will be proactive in staying abreast of industry changes and be adept at adapting compliance programs to meet the evolving needs of the business. A key aspect of the role is to ensure that the organization remains in compliance with all relevant regulatory requirements, thereby protecting both the company and its investors from potential harm.

Hiring Manager Title
CEO

Travel Percent
Less than 10%

Functions

• Finance

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