Chief Compliance Officer

3 weeks ago

Tampa, United States Riptide Search Full time

About Us

We pride ourselves on being empathetic and seasoned guides in the multifaceted world of wealth management. With over $2 billion in assets under advisement, our core business is built on trust, expertise, and innovation. Our mission is to serve clients with a holistic approach that prioritizes their peace of mind, happiness, and financial success.

We are looking for a dedicated compliance leader who shares our commitment to integrity and client-focused service.


Position Summary

The Chief Compliance Officer will oversee all compliance activities to ensure the firm operates within the regulatory frameworks of the SEC, FINRA, and other applicable agencies. You will serve as a key member of our executive team, ensuring compliance remains an integral part of our operations, helping us protect our clients, advisors, and reputation.


Key Responsibilities

  • Develop, implement, and maintain compliance programs for the firm’s RIA and Broker-Dealer operations.
  • Monitor and ensure adherence to all SEC and FINRA regulations, as well as state and federal securities laws.
  • Conduct regular compliance risk assessments and audits, providing actionable insights to mitigate risks.
  • Act as the primary liaison with regulatory bodies, preparing and responding to examinations, inquiries, and audits.
  • Oversee compliance training programs for employees and advisors, ensuring ongoing awareness of regulatory requirements.
  • Draft and review disclosures, policies, and procedures to maintain alignment with regulatory changes and industry best practices.
  • Supervise a growing roster of Investment Adviser Representatives and Registered Representatives, (IAR’s and RRs): Ensure compliance with internal policies and regulatory standards through routine reviews, audits, and guidance.
  • Develop Supervision Protocols: Create and enforce effective protocols, including regular audits and meetings, to address compliance risks and maintain regulatory adherence.
  • Collaborate with executive leadership on strategic initiatives while ensuring compliance standards are maintained.
  • Monitor advertising, marketing, and client communication materials for compliance with regulatory guidelines.
  • Handle client complaints, disclosures, and escalated issues in a timely and professional manner.

Qualifications

  • Education: Bachelor’s degree in finance, business, law, or a related field (advanced degree or JD preferred).
  • Certifications: Active Series 7, 24, 63/65 or 66, and other relevant FINRA licenses.
  • Experience: Minimum of 7-10 years of experience in compliance leadership roles within an RIA, Broker-Dealer, or financial services firm.
  • Deep knowledge of SEC and FINRA regulations and processes.
  • Strong organizational, analytical, and problem-solving skills.
  • Ability to lead with authority while maintaining a collaborative and supportive approach.
  • Exceptional communication and interpersonal skills, with the ability to effectively convey complex regulatory requirements.


What We Offer

  • Competitive salary and performance-based incentives.
  • Comprehensive benefits package, including health, dental, and vision coverage.
  • Opportunities for professional growth and development in a collaborative environment.
  • A company culture that values integrity, innovation, and dedication to client success.

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