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Chief Compliance Officer

4 months ago

Clearwater, United States TalentWealth Full time

TalentWealth Recruiting is working to help fill an exciting opportunity. An independent wealth management firm with $3B AUM (Assets Under Management), founded in 1999 based in Clearwater, FL is seeking a CCO to lead their compliance and risk program. The CCO will report directly to senior management and is responsible for the implementation, administration and ongoing oversight of the compliance program required by Rule 206(4)-7 of the Investment Advisers Act of 1940. This is a hybrid remote position that will report directly to senior management but will not have any direct reports immediately but should with future growth.


Required Skills & Experience

The successful candidate has:

· Bachelor’s Degree or equivalent.

· 8-10 years’ experience in Financial Services, specifically working with Registered Investment Advisers or Broker-Dealers.

· Served as a CCO or in a compliance function for a Registered Investment Adviser (RIA) (highly preferred but not required).

· Familiarity with the Investment Advisers Act of 1940.

· Strong organizational and problem-solving skills, coupled with your attention to detail and situational nuances

· Ability to handle multiple and competing projects and deadlines simultaneously

· Strong Relationship management and Customer Service skills.

· Familiarity with Regulatory Filings.

· Regulatory Examination experience.

Compensation & Benefits:

Base salary in the $120k-$150k range + bonus.

  • Health Insurance (75% paid by firm)
  • Dental & Vision Insurance (100% paid by firm)
  • 401K with matching
  • Long- and Short-term Disability (100% paid by firm)
  • Vacation/PTO