Interim Chief Compliance Officer

1 month ago

Mount Laurel, United States Madison-Davis, LLC Full time

Temporary CCO for a RIA

12 month contract

80-100 hours/month (will be working 2 weeks every month)


Must hold Series 7, 24, and/or 9/10


  • Ensure the firm remains fully compliant with FINRA, SEC, LPL Financial, and other relevant regulatory requirements.
  • Oversee adherence to the Securities Exchange Act, Investment Advisers Act, and other applicable securities laws.
  • Monitor and implement changes in laws and regulations, updating firm policies and procedures accordingly.
  • Conduct internal audits and implement corrective actions to address compliance issues.
  • Act as the designated OSJ Manager, overseeing advisors affiliated with Momentum Wealth Partners and it's registered representatives.
  • Manage and supervise all supervisory duties, including the approval and review of new account openings, trades, communications, and outside business activities (OBAs) in line with LPL Financial policies.
  • Identify opportunities to address issues, risks, and exposures, engaging senior leadership to take appropriate actions.
  • Ensure the team comprehensively understands their responsibilities to perform high-quality work and adapt to the evolving regulatory landscape.
  • Develop and refine system logic used in conducting risk-based reviews based on prior findings.
  • Review, draft, or update desktop procedures as necessary and effectively communicate changes to team members.
  • Develop expertise in securities rules and regulations through continuous knowledge enhancement, research, and training.
  • Implement and oversee account reviews to monitor the ongoing suitability of investments and activities in client accounts.
  • Conduct Advisor book reviews to identify trends or patterns that may impact multiple customers.
  • Escalate potential issues to appropriate parties and collaborate with the Sales Practice Review team for disciplinary actions when needed.
  • Supervise the development and mentoring of staff at various expertise levels, assess performance, deliver evaluations, and participate in recruiting and retention efforts.
  • Lead and manage the compliance and supervision department, including supervising compliance officers, supervisory principals, and support staff.
  • Foster a culture of compliance and supervision within the firm by providing ongoing training to advisors and staff on regulatory and supervisory matters.
  • Serve as a key advisor to the Executive Team on compliance risks, supervisory procedures, and strategies for improvement.

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