Deputy CCO - Retail RIA

Deputy CCO - Retail RIA – Due to growth, Northern New Jersey multi-billion AUM Wealth Management firm founded in 1970 needs an expert Compliance professional.  Position reports to CCO, who reports to President.  Fully remote position after training period. 10 years’ experience.  Base and bonus open.

Why is the below important?  Because this firm is thriving when others are floundering and this means growth for you.

Founded in 1970, New Jersey Wealth Management firm

is seeking an engaged, detail oriented and self-motivated Deputy CCO to join its Compliance Department.

Reporting to the Chief Compliance Officer, who reports to the President of the firm, the Deputy CCO will be responsible for day-to-day compliance functions relating to our investment advisory business. The individual will be an expert in the Investment Advisers Acts and SEC-registered RIAs. General Responsibilities will include regulatory oversight, risk management, and policy implementation of all investment advisory relationships and serve as a daily point of contact for other departments, financial advisors, and institutional partners.



The Deputy CCO must possess exceptional organizational skills, attention to detail, a dedication to excellent client service and a commitment to working collaboratively with colleagues to effect risk reduction and continuous improvement in the firm’s compliance program.