Chief Compliance Officer

Our client is a Hybrid RIA with both organic and inorganic annual growth +25%.

The Chief Compliance Officer is responsible for the design, implementation, and ongoing management of the firm’s compliance program across its hybrid RIA and broker-dealer channels. The CCO will serve as the primary liaison with regulators, custodians, and the firm’s leadership team on all compliance and risk management matters, ensuring the firm meets its fiduciary, regulatory, and supervisory obligations.

• Develop, maintain, and enhance the firm’s comprehensive compliance program in accordance with the Investment Advisers Act of 1940, applicable FINRA/SEC rules, and state regulations.
• Oversee compliance for advisory accounts custodied at Schwab and LPL
• Draft, maintain, and periodically update the compliance manual, Code of Ethics, supervisory procedures, and other core policies.
• Implement a robust risk assessment framework to identify, monitor, and mitigate regulatory, operational, and reputational risk.

• Oversee supervision of investment advisory activities, including portfolio management, trading, account opening, and ongoing monitoring.
• Oversee supervision of brokerage activities, including suitability, sales practices, account documentation, and communications.
• Coordinate closely with our custodian's home office compliance, supervision, and risk teams to align firm-level procedures with their policies and expectations.
• Ensure appropriate procedures are in place for reviewing new accounts, rollovers, transfers, recommendations, and conflicts of interest.

• Serve as primary contact for SEC, FINRA, state regulators, and other regulatory bodies.
• Lead preparation for and management of regulatory exams, audits, inquiries, and requests (including SEC RIA exams and FINRA-related broker-dealer reviews).
• Monitor relevant regulatory developments and rule changes and implement necessary policy and procedural updates.
• Develop and execute an annual compliance testing and monitoring plan spanning both RIA and broker-dealer business, tailored to the firm’s risk profile and LPL platform usage.
• Oversee surveillance and exception reporting, reviewing alerts related to trading, outside business activities, gifts & entertainment, personal trading, and other high-risk areas.
• Conduct regular branch office and remote office reviews
• Monitor adherence to the firm’s Code of Ethics, including personal trading, outside business activities, political contributions, and conflicts.
• Draft, implement, and maintain written supervisory procedures (WSPs) addressing both advisory and brokerage activities
• Ensure accurate and timely regulatory filings, including Form ADV, Form U4/U5, Form CRS, state registrations, and any LPL-required attestations or certifications.
• Maintain robust documentation of supervisory reviews, testing, risk assessments, advertising approvals, and training.

• Review, pre-approve, and supervise all client-facing communications, including marketing materials, pitch books, website content, social media, presentations, and investment commentary, ensuring consistency with both RIA and BD requirements.
• Oversee compliance of client communications such as newsletters, mass emails, market updates, and educational content.

• Ensure adherence to fiduciary duty for advisory clients, including duty of care and duty of loyalty, with a focus on conflicts related to dual registration, advisory vs. commission business, fee structures, and product selection on multiple platforms.
• Oversee processes for managing conflicts of interest, including revenue sharing, 12b-1 fees, differential compensation, proprietary or limited product lists, and rollover/transfer recommendations.
• Ensure suitability and best-interest standards are met, including Regulation Best Interest (Reg BI) obligations for brokerage accounts.

• Develop and deliver ongoing compliance training for advisors, registered representatives,…