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Chief Compliance Officer
Job in
Miami, Miami-Dade County, Florida, 33222, USA
Listed on 2026-07-08
Listing for:
Pinnacle Career Coaching
Full Time
position Listed on 2026-07-08
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Risk Manager/Analyst, Financial Crime
Job Description & How to Apply Below
We've partnered with a growing BD/RIA seeking an experienced CCO to lead and oversee its compliance framework across both its SEC-registered investment advisory and FINRA-regulated broker-dealer businesses.
This position is 5 days per week on-site in Miami due to the high visibility of the position within the organization.
Key Responsibilities- Lead and maintain the firm's enterprise-wide compliance program across advisory and brokerage businesses.
- Act as the designated Chief Compliance Officer for regulatory purposes, overseeing compliance policies, procedures, annual reviews, and regulatory filings.
- Provide compliance oversight across discretionary and non-discretionary investment advisory services, alternative investments, structured products, and wealth planning solutions.
- Ensure compliance with SEC and FINRA regulations, including fiduciary obligations, Regulation Best Interest (Reg BI), suitability requirements, and conflict management.
- Oversee AML, KYC, sanctions screening, financial crime controls, and enhanced due diligence for higher-risk client relationships.
- Serve as the primary contact for regulatory examinations, inquiries, and audits, managing all responses and remediation efforts.
- Advise senior management on regulatory developments, new business initiatives, product launches, and emerging compliance risks.
- Review client documentation, marketing materials, disclosures, and investment-related communications.
- Oversee trade surveillance, communications monitoring, employee compliance, and ongoing risk assessments.
- Build, mentor, and develop the compliance function while promoting a strong culture of integrity, accountability, and regulatory excellence.
- 10+ years of experience in a Broker-Dealer, RIA environment
- Series 7 & 24 FINRA licenses
- Strong background supporting private wealth management, investment advisory, or brokerage businesses.
- Deep knowledge of SEC regulations, FINRA rules, the Investment Advisers Act, Regulation Best Interest, AML/BSA, and regulatory examination processes.
- An advanced degree (JD, MBA, or similar) is beneficial.
For more information please contact Thomas Byrne at t
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