Chief Compliance Officer

Pay: $90,000.00 - $150,000.00 per year

Job description:

About the Company

Our client is a full-service broker dealer and registered investment advisor built by fiduciary-minded Life Insurance professionals and successful financial advisors. Their financial advisors are independent business owners focused on helping their clients achieve their financial and life goals.

Position Overview:

They are seeking an experienced Chief Compliance Officer (CCO) who will be responsible for operations, executing, and compliance. This is a hands-on role that reports directly to the CEO. This is an in-office role in out of Irvine, CA.

Key Responsibilities:

• Compliance Leadership: Lead and execute a best-in-class compliance program, fostering a culture of ethical practice and regulatory excellence. Develop, implement, and update policies, procedures, audits, and controls to ensure full adherence of applicable laws.
• Operational Oversight: Oversee quality control of client account and operations; drive operational efficiencies while ensuring robust controls are in place.

Candidate Requirements

• Experience: 10 years in both operations and compliance. Proven track record as a compliance leader, additional experience in operational leadership preferred.
• The ideal candidate will have the following designations:

Series 4 – Options

Series 7 – General Securities

Series 24 – General Securities Principal

Series 53 – Municipal Securities Principal

Series 99 - Operations

Series 63 - State

Series 65 – IAR

Job Type: Full-time

Work Location: In person (Irvine, CA)

Our client is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and employees and prohibit discrimination or harassment based on any characteristic protected by applicable federal, California state, or local law. All employment decisions are based on qualifications, merit, and business needs.