3,733 Chief Compliance Officer jobs in the United States

Job Description

The Chief Compliance Officer is responsible for overseeing, developing, and enhancing the firm’s compliance program, ensuring adherence to applicable laws, regulations, and internal policies by designing, implementing, and monitoring systems to identify and mitigate compliance risks, while also educating employees and promoting a culture of ethical conduct. The CCO reports directly to the Chief Financial Officer | Chief Operating Officer and plays a key role in strategic decision-making related to compliance matters.

Position Responsibilities:

Compliance Program Oversight and Development

• Creates comprehensive policies and procedures, in conjunction with outside legal counsel, to address relevant regulations and internal guidelines, including anti-money laundering, data privacy, cybersecurity, DOL, and securities laws.
• Proactively identifies potential compliance risks, conducting regular audits and reviews to access compliance posture, and implementing corrective actions as necessary.
• Monitors evolving legal and regulatory landscapes to proactively address new compliance requirements.
• Works closely with various departments, as well as outside legal counsel, to ensure the firm and its employees abide by new and existing regulations as well as firm policies.
• Conducts compliance training and educational training and educational programs for all new and existing employees as required.
• Disseminates information and advises staff regarding new and existing compliance laws and regulations.
• Provides regular updates on compliance department, including key risk areas and potential issues, to the CFO | COO and Management Committee.
• Maintains and enhances certain Sarbanes Oxley (SOX) controls and documentation to reflect the current regulatory environment. Ensures compliance with SOX through various testing.
• Participates in the annual review of Policy & Procedures, ADV, Compliance Program.
• Serves as the main contact with outside counsel for compliance.
• Manage compliance team members in accordance with established policies and procedures and provide oversight in the areas of hiring and professional development.

Compliance Adherence and Monitoring

• Responsible for regulatory filings including Form ADV Parts 1, 2A, and 2B, Form 13F; Assists with Form 13H filed on firm’s behalf by Focus Financial. Annual and interim filings with the Canadian Securities Administrators.
• Assists Counsel with employee U4 and U5 filings.
• Reviews account paperwork, particularly new account agreements, for quality control.
• Reviews, approves, and maintains trade error forms/logs and cancel/rebill forms.
• Responsible for reviewing Employee Trade Pre-Clearance Approvals.
• Reviews employee’s Social Media accounts via Global Relay and addresses improper communication.
• Oversees the proxy voting system.
• Reviews and maintains Correspondence (reviews letters, other client communications, and fee changes).
• Manages DOL requirements as they pertain to ERISA in conjunction with outside Counsel.
• Reviews compliance testing relative to Compliance Program.
• Perform other job-related duties as assigned or needed.

Requirements

• Bachelor’s degree in business or a related field is required. Juris Doctorate is a plus.
• 7+ years of related work experience in the wealth management/investment advisory industry.
• 5+ years of experience as a Chief Compliance Officer or in similar progressively responsible compliance leadership role.
• Experience in securities industry compliance processes, procedures, and requirements.
• Strong aptitude and proficiency in technology solutions, including but not limited to Microsoft Office applications, portfolio management software, financial/accounting systems, etc.

In addition, the ideal associate will:

• Strong understanding of compliance rules and regulations.
• Strong understanding and in-depth knowledge of the financial services industry, especially investment/wealth management.
• Strong analytical and problem-solving skills.
• Strong interpersonal and collaboration skills.
• Ability to work effectively and proactively, both independently and as part of a team.
• Ability to liaison with all departments and develop effective relationships with co-workers.
• Ability to communicate effectively with a wide range of people in a professional manner using tact, courtesy, and good judgment, whether orally, written, or in a presentation.
• Ability to organize and prioritize multiple tasks with divergent needs, focusing on detail, to produce high quality results in high-pressure situations.
• Strong organizational/process management skills with the ability to prioritize work.
• Keen attention to detail
• Ability to maintain confidentiality.
• Innovative and creative thinking.
• Ability to use standard office equipment and learn and adapt to new office technology.
• Willingness to periodically travel to satellite offices, including Chicago and Louisville.

The above statements are intended to describe the general nature and level of work being performed by persons assigned to this job. These statements are not intended to be an exhaustive list of all responsibilities, duties and skills required of personnel in this position.

Benefits

We offer:

• A Top Workplace winning culture built on teamwork, integrity, and diligence.
• An engaging work environment.
• Opportunity for professional growth and development.
• A hybrid work schedule.
• A competitive salary and eligibility for annual firm profitability/individual performance incentive.
• A comprehensive benefits package including medical, dental, vision, life, and long-term disability insurance, flexible spending accounts and the items listed below.
• 401(k) plan with match and profit-sharing contribution.
• Generous paid time off.
• Paid parental and medical leave.

Bartlett Wealth Management has 83 employees between its locations in Cincinnati, Chicago, and Louisville, and approximately $9.4 billion in assets under management as of December 31, 2024.

Bartlett is an Equal Opportunity Employer

#LI-Hybrid

#LI-KM1

EXCLUSIVE Our client, a leading, public, technology manufacturing company with 7,000 employees and sales, engineering, and manufacturing locations in North America, Europe, Middle East, and Asia, seeks a Chief Compliance Officer in its Chicago headquarters. Reporting directly to the General Counsel, the Chief Compliance Officer will develop, implement, and monitor effective compliance programs and policies to ensure the companys adherence to relevant laws, regulations, and ethical standards. The successful candidate will serve as a strategic advisor to senior leadership and will be responsible for fostering a culture of compliance throughout the organization. The successful candidate will possess a Juris Doctor (J.D.) degree and at least 10+ years of related compliance experience, preferably working in a role for a global manufacturer or tier 1 automotive supplier.

This is an exciting opportunity to join a leading and growing international company with vibrant management and perform a vital and integral role by crafting and overseeing the companys first comprehensive compliance program.

Location: Chicago

Employment Type: Legal Role

Experience: Senior Attorney

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We submit confidential inquiries to our hiring contacts which preserves the confidentiality of the attorney candidate.

POSITION SUMMARY
The CCO is responsible for overseeing and administering the firms compliance program, ensuring adherence to SEC, FINRA, and other regulatory requirements. This role ensures the firms operations and staff remain compliant with applicable laws, and that the necessary policies, procedures, and training are in place to mitigate risk and promote a compliant culture.

The ideal candidate will demonstrate strong analytical skills, a commitment to excellent client service, and dedication to proactively developing policies that mitigate risk to clients, employees, and the firm. He or she will be part of maintaining a robust compliance program and partnering with leadership to build a scalable infrastructure to support continued growth of the firm.

• Oversee all aspects of compliance for a SEC-registered investment advisor and affiliated Broker-Dealer.
• Ensure compliance with regulatory filings.
• Maintain the firm's compliance manual, testing programs, and annual calendar of compliance priorities.
• Stay abreast of regulatory changes.
• Oversee incident reporting, documentation, and resolution of compliance breaches.

• Conduct regular audits; address noncompliance as needed.
• Maintain records of compliance incidents, reporting to management on frequency and trending topics.
• Supervise email, social media, and personal trading account surveillance.
• Review and approve marketing materials, client-facing documents, and the firm's trading log.

• Implement compliance training programs for all members of Cassaday.
• Manage registration, licensing, and continuing education requirements for the Firm's registered representatives.
• Provide targeted compliance training on overarching operational rules, and specific procedures that must be followed.

• Conduct risk assessments, manage the Business Continuity Plan, and follow up on annual compliance risk assessments.
• Provide compliance oversight for client investments.
• Act as main point of contact for external audits and regulatory examinations.

• Bachelor's degree in finance, business, or a related field
• 5-10 years of compliance experience in wealth management
• FINRA Series 7, 66, 24 licenses and 51 (or the ability to obtain them)
• In-depth knowledge of regulatory frameworks (Investment Advisers Act of 1940, AML/KYC, SEC, DOL, IRS, FINRA rules)
• Proficient in MS SharePoint and MS Office (Excel, Word, Outlook)
• Proven leadership and organizational skills, with strong attention to detail
• Critical and analytical thinker
• Must be able to pass Broker Dealer criminal, driving, and financial background check
• Proficiency in planning and executing employee training for compliance measures

• JD and/or MBA a plus
• Experience with Tamarac CRM a plus
• Drive to stay ahead of evolving practices in compliance
• Experience in developing and implementing compliance policies, systems, and processes

Cassaday & Company, Inc. manages over $6 billion in assets for over 3,700 households.

Since its inception in 1993, Cassaday & Company has been recognized for employee development, community service, as a best place to work, as one of the fastest growing companies in the country, and as one of the top wealth advisors in the United States by outlets such as Barron's Forbes, Inc. 5000, Investment News, Financial Times, Washingtonian, and more.

• Healthcare options, including medical, dental, vision, and supplemental programs
  • majority of premiums paid by the firm
• 401(k) options
• Paid time off
• Telework options
• Health & Wellness program
• Paid parking in covered garage, OR monthly public transit subsidy
• Tax-free Dependent Care and Education assistance programs
• Company sponsored employee appreciation events

Job Description

This position reports on-site.

Summary: The Chief Compliance Officer (CCO) is responsible for developing, implementing, and administering all aspects of the company’s Compliance Management Programs. This role involves planning, organizing, and controlling day-to-day administrative, wealth management, and operational compliance activities. The CCO participates in various committees, assists with audits and examinations, and conducts staff training on legal and regulatory compliance. The CCO advises the Board of Directors, Senior Management, and company personnel on emerging compliance issues. Additionally, the CCO consults and guides the company in establishing controls to mitigate risks.

Duties and Responsibilities:

• Responsible for adherence to all compliance programs and completion of required and assigned training by established due dates.
• Understand and fulfill duties and responsibilities related to the Bank Secrecy Act (BSA), Anti-Money Laundering Act (AML), and Office of Foreign Assets Control Regulations (OFAC), including participation in required training and prompt compliance with all reporting requirements.
• Comply with all applicable laws and regulations. Including but not limited to the Investment Advisors Act of 1940 and Investment Company Act of 1940.
• Structure the company’s compliance program based on management’s philosophy, past compliance performance, and the tenure and knowledge of employees.
• Assess and utilize resources necessary to achieve and maintain targeted compliance performance levels.
• Proactively manage the compliance program to meet the needs of the company and adapt to the changing regulatory environment, identifying areas for improvement to deter violations before they occur.
• Design and implement follow-up procedures to ensure timely correction of issues noted in audits and reviews.
• Periodically review written procedures to ensure consistency with regulatory changes, operating systems, and management philosophy.
• Monitor staff regulatory training programs and track staff completion.
• Serve as the central contact for all regulatory issues, ensuring proper dissemination of materials related to regulatory changes.
• Act as the primary liaison with SEC examiners during examinations.
• Manage relationships with third-party SEC counsel.
• Collaborate with affiliated company staff to address interrelated compliance and regulatory matters.
• Perform other duties as assigned.

Supervisory Responsibilities: Carries out supervisory responsibilities in accordance with the Bank’s policies and applicable laws. Responsibilities include interviewing, hiring, and training; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints; and resolving issues.

Salary Range: The salary range budgeted for this position represents the Company's good faith minimum and maximum range for this role at the time of posting. The compensation offered to a candidate may vary depending on several factors, including a candidate's qualifications, skills, competencies, experience, and location.

Geographic Location:

• Irvine, CA: $151,200 - $195,000 (Annually)

Applicants must have current work authorization when accepting a First Foundation Inc. position. Currently, we cannot sponsor or take over the sponsorship of an Employment Visa.

Qualifications: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions.

Education and/or Experience:

• Bachelor’s degree required; higher degree preferred.
• Minimum of 10 to 15 years of related experience required.

Skills:

• Demonstrated competency in leading a collaborative environment and creating priorities and focus for key support partners.
• Strong problem-resolution skills and sound judgment.
• Excellent organizational skills with a proven ability to multi-task and manage multiple projects.
• Effective verbal and written communication skills.
• Exceptional interpersonal skills and ability to work effectively in a team environment.
• Ability to interact and work well with external prospects.
• Commitment to supporting and promoting diversity in the workplace.
• Technological proficiency relevant to the compliance area.
• Professional image in dealing with customers, interdepartmental, and external representatives.

Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions.

While performing the duties of this job, the employee is regularly required to sit for long periods; use hands to operate controls on a computer; reach with hands and arms for phone and computer work; and communicate on the phone wearing a headset for extended periods. The employee must occasionally lift and/or move up to 10 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, and the ability to adjust focus. This job description is subject to change at any time.

Equal Opportunity Employer: First Foundation is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, protected veteran status, status as a qualified individual with a disability, sexual orientation, gender identity, or any other characteristic protected by law.

COMPANY OVERVIEW
ExecHQ is an advisory firm comprised of executives with extensive C-Suite (e.g. CEO, COO, CMO, CFO, etc.) experience delivering on-demand and cost-effective solutions for complex business problems faced by Business Owners, CEOs, Boards, Private Equity Firms, Family Offices, Non-Profits, and other entities. Our clients range in size from startups to Fortune 1000 companies. We offer fractional, interim, or project-based services to clients that need a higher level of expertise or experience than they currently have or have the ability to retain on a full-time basis. We believe that every company deserves the right executive. We believe that many CEOs and/or business owners can better focus on their core responsibilities and reach maximum effectiveness when they are able to take off some of their multiple hats, delegating these areas of responsibility to trusted business advisors.

JOB SUMMARY
Consulting Chief Financial Officer (CFO) Advisor to work with the other principals in our firm to provide the best solutions to our clients across the globe. Apply your knowledge and expertise gained from your experience as a full-time CFO or consulting CFO to help business owners and/or CEOs help their organizations as they need. We are looking for CFOs with an entrepreneurial spirit who want to work with a firm that treats their consultants as its #1 priority, and clients a close second.

RESPONSIBILITIES AND DUTIES

• Apply your skills and knowledge as a Chief Financial Officer to assist your clients as needed with leadership, turnarounds, taking them to the next level, executive coaching, building effective teams, etc.
• Employ our training and coaching to expand your business network, build great business relationships, follow-up, and help to close leads for new clients that come to your attention.
• Able to interact with CEOs/Business owners at a peer level and willing to listen, learn, and ask the relevant questions to determine the core issues in an organization.
• Assemble a team of individuals from within the client, from our team of C-Suite level advisors, and/or from any of our Strategic Alliance Partner Firms as needed to bring the best solutions to your client.
• As a principal and consulting CFO within our firm, you will interact with other C-Suite-experienced individuals who have backgrounds as CEOs, CFOs, COOs, CMOs, CHROs, CIOs, CTOs, etc., who also have the same mission to bring about the best solutions for our clients.

QUALIFICATIONS AND SKILLS

• Bachelor's degree in business, accounting, or related field required. MBA or other relevant Master's degree preferred.
• Five or more years of experience as a CFO, business owner, or equivalent position.

BENEFITS AND PERKS

• We offer access to our large-group health insurance plan (medical, vision, and dental) to those executive advisors located in the continental U.S.A (Hawaii and Alaska residents are not covered).
• Various discounts and corporate perks.
• Our firm does not have buy-in or startup fees, and you can retain 97% of revenues collected from your clients, subject to a minimum annual revenue amount.
• Be part of a fast-growing, entrepreneurial team of C-Suite executives who are given the autonomy, tools, training, and coaching so you can do what's best for you and your family.and for your clients.

• Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
• Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
• Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
• Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
• Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
• Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
• Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
• Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.

• At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
• Self-directed brokerage experience desired.
• Series 7, 24, and 65/66 licenses required.
• A Bachelor's Degree is essential, and CAMS certification is preferred.
• Exceptional organizational, analytical, and problem-solving abilities.
• Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
• A proven ability to multitask and thrive in a fast-paced environment.
• Strong team player with excellent coaching, feedback, and listening skills.
• Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.

• Innovative trading platform!
• Supportive team culture!
• Career advancement opportunities!
• Focus on professional growth!
• Competitive salary and benefits!
• Work with industry experts!
• Cutting-edge technology!
• Client-centric approach!
• Dynamic work environment!
• Strong reputation in finance!