What are the responsibilities and job description for the Chief Compliance Officer position at Alexander Chapman?
This is a highly visible leadership role partnering closely with executive management to support business growth while maintaining a strong culture of compliance, risk management, and regulatory integrity.
The firm operates across private wealth management, employer-sponsored retirement plans, fixed income and bond trading, structured products, and third-party trade execution. The ideal candidate brings deep expertise in SEC and FINRA regulations, strong supervisory experience, and a practical, business-oriented approach to compliance—someone who can “get to yes” while managing regulatory risk.
Key Responsibilities:
Enterprise Compliance Leadership
- Lead broker-dealer and RIA compliance programs across all business lines
- Serve as CCO for broker-dealer and/or RIA entities
- Advise executive leadership on regulatory, product, and operational risk
- Promote a proactive, business-aligned compliance culture
Regulatory Oversight & Supervision
- Ensure compliance with SEC, FINRA, and state requirements
- Maintain WSPs, compliance manuals, and supervisory frameworks
- Monitor regulatory changes and implement policy updates
- Oversee supervisory controls and testing programs
Exams & Risk Management
- Lead regulatory exams, audits, and inquiries
- Manage responses, remediation, and exam readiness
- Oversee branch reviews, surveillance, and risk-based testing
- Identify and address operational and regulatory risks
Advisory & Business Partnership
- Advise senior leadership, supervisors, and advisers on compliance matters
- Provide guidance on suitability, advertising, conflicts, OBAs, and supervision
- Support business initiatives with compliant solutions
Surveillance & Monitoring
- Oversee communications, marketing, personal trading, complaints, and trade surveillance (including fixed income and structured products)
- Enhance surveillance tools, automation, and AI-driven capabilities
Qualifications
- Bachelor’s degree
- 10 years of broker-dealer/RIA compliance experience
- 3–5 years in senior leadership (CCO or equivalent preferred)
- Strong knowledge of SEC, FINRA, and state regulations
- Experience with supervision, advisory compliance, branch exams, and regulatory exams
- Proven leadership of compliance teams
- FINRA Series 7, 24, and 66 required
- Series 53 preferred or to be obtained within 6 months
Budget: Up to 250k on base bonuses
Salary : $220,000 - $250,000