What are the responsibilities and job description for the Chief Compliance Officer - RIA position at Pinnacle Career Coaching?
We've partnered with a fast-growing RIA that is looking for a CCO to join their close-knit team as they continue to expand their presence and operations.
This is a hands-on position building a compliance program with the support of the executive team and external consultancy.
What you'll be doing:
- Building the compliance program from the ground up, covering all core compliance activities, ensuring compliance with SEC and state regulations, overseeing Form ADV filings and acting as the primary contact for regulatory examinations and inquiries.
- Conduct compliance risk assessments, investigations and remediation efforts to mitigate regulatory and operational risk.
- Oversee testing, monitoring, and annual reviews of compliance programs, presenting findings to the CEO, President and Board
- Implement robust AML/KYC, privacy, cybersecurity, and code-of-ethics frameworks aligned with SEC standards
- Review and approve all marketing and sales materials to ensure regulatory compliance across RIA channels.
- Leverage compliance technology platforms to manage reporting, monitor employee activities, streamline compliance workflows and maintain regulatory records.
What they're looking for:
- Bachelor's degree level educated
- 6 years of compliance experience, working within a RIA or dual-registered BD/RIA firm
- Extensive experience with the Advisers Act and pertinent SEC rules and regulations
- Comfortable managing and communicating with executive stakeholders and regulatory bodies
For more information, please contact Thomas Byrne at thomas@pinnaclecareercoach.com
Salary : $160,000 - $170,000