Deputy Chief Compliance Officer

1 month ago


McLean, United States Larson Maddox Full time

We are currently partnered with a growing SEC Registered Investment Advisor/Broker Dealer seeking a motivated Deputy CCO to join their growing team. You'll be a key team member, reporting directly up to the CCO, responsible for ensuring the firm's goals and values are upheld.

Director of Compliance Responsibilities:

  • Oversee daily management of the firm's compliance program, ensuring adherence to SEC rules and internal policies.
  • Apply expertise in the Investment Advisers Act of 1940, Rule 206(4)-7, Suitability Review Requirements, and DOL Rule.
  • Supervise nationwide branch offices to meet all legal, regulatory, and firm requirements.
  • Monitor and ensure compliance with rules, regulations, and internal policies.
  • Maintain strong relationships with peers, executives, and business partners.
  • Collaborate with other corporate departments.
  • Foster a culture of compliance through guidance and training.
  • Promote the firm's mission, vision, and values.

Director of Compliance Qualifications:

  • Bachelor's degree (required); JD or compliance certifications (preferred).
  • 5+ years of compliance experience with a registered investment advisor, with expertise in SEC marketing rules.
  • Strong compliance testing/monitoring experience required
  • FINRA Series 7 & 24 certifications preferred



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