Chief Compliance Officer

2 days ago Be among the first 25 applicants Destiny Wealth Partners, DBA Ruggie Wealth Management is a trusted provider of comprehensive asset management and financial planning services for individuals and businesses across the United States. Founded in 1991 by Tom Ruggie, a Certified Financial Planner (CFP®) and Chartered Financial Consultant (ChFC®), the firm is known for forging strong client relationships and offering unbiased, research-driven financial guidance. Leveraging strategic alliances with experienced professionals, Ruggie Wealth Management helps manage all aspects of clients' financial well-being. Thanks to its client-first approach, the firm has established a legacy of excellence and credibility in the financial advisory sector. Role Description This is a full-time, on-site role for a Chief Compliance Officer at either our Tavares, FL or Winter Park, FL office locations. The Chief Compliance Officer (CCO) leads the firm’s compliance program, ensuring adherence to the Investment Advisers Act of 1940 and related regulations. The CCO manages compliance for a complex platform, including alternative private funds, and maintains strong controls, operational oversight and a culture of compliance. This role partners with senior leadership, oversees annual reviews, risk assessments, policy updates, and ensures compliance with the Marketing Rule, Custody Rule, and Code of Ethics. CCO also monitors strategic partners, reviews marketing, and integrates compliance technology. Day-to-day, the CCO manages the Code of Ethics program, monitors investment and operational compliance, oversees back-office operations, vendor due diligence, and recordkeeping. This position suits an experienced CCO, COO with Compliance emphasis or Senior Compliance leader from a similar or larger SEC Registered Investment Advisor, ready to serve as the designated CCO under Rule 206(4)-7, with support from a leading legal and compliance attorney. Key Responsibilities Compliance Program Management Lead compliance across all business lines, including Destiny Wealth Partners and Destiny Family Office (SEC RIAs). Develop and maintain a compliance program and Written Supervisory Procedures (WSPs). Conduct annual reviews and risk assessments (Rule 206(4)-7). Implement regulatory changes and update policies. Serve as designated CCO under the Advisers Act. Ensure compliance with the Advisers Act, Marketing Rule, Custody Rule, and Code of Ethics. Oversee compliance for alternative private funds and monitor fund service providers. Policy Enforcement & Monitoring Enforce policies on conflicts of interest, personal trading, gifts, and confidentiality. Oversee Code of Ethics, best execution, and gifts/entertainment. Monitor trading, allocations, and insider controls. Conduct audits and test client fee calculations. Review trade errors and documentation. Oversee due diligence of third-party providers and vendors. Firm Operations & Trading Develop and maintain compliance policies for back-office functions (finance, IT, HR, records). Conduct risk assessments and optimize compliance processes. Oversee trading activities to ensure compliance and mitigate risk. Training & Education Provide ongoing compliance training to staff. Promote a culture of ethics and fiduciary responsibility. Ensure annual compliance meetings are held and documented. Manage Form ADV filings and amendments. Oversee state filings and CRD maintenance (Form U4/U5). Prepare and file EDGAR forms (13F, 13H, 13D/G). Serve as primary contact for SEC/state regulators. Advise leadership on regulatory developments. Oversee compliance for 3(c)(7) Master Funds and SPVs. Monitor fund structures and investor eligibility. Maintain records for SPV and Master Fund activities. Conduct fund compliance reviews and audits. Collaborate with legal counsel and administrators. Prepare and file regulatory reports and disclosures. Provide compliance training on 3(c)(7) and SPV requirements. Respond to regulatory inquiries on funds/SPVs. Code of Ethics Oversight Review access persons’ holdings and transactions. Approve/deny IPO and private placement requests. Marketing & Communications Review Review and revise marketing materials and reports. Coordinate marketing and advertising compliance. Additional Duties Assist with branch reviews and documentation. Respond to client complaints and regulatory communications. Advise staff on compliance inquiries. Support legal matters and vendor due diligence. Periodically review and improve processes. Education/Qualifications Bachelor’s degree (or equivalent) in business, finance, economics, or related field. 10+ years’ RIA compliance experience, preferably as CCO or Senior Compliance leader. Deep knowledge of the Advisers Act and related regulations. Understanding of Regulation D and Securities Act exemptive rules. Strong analytical, organizational, and leadership skills. Ability to interpret and apply complex regulations. Familiarity with compliance systems (e.g., Global Relay, Smarsh). General understanding of financial planning (tax, trust, estate). Ability to advise senior leadership and work cross-functionally. Proficient with Microsoft Office 365. Familiarity with Salesforce CRM, eMoney, Orion, or similar. Able to travel locally for client meetings. Seniority Level Executive Employment Type Full-time Job Function Legal #J-18808-Ljbffr