Deputy Chief Compliance Officer - Retail RIA

Deputy Chief Compliance Officer - Retail RIATotal compensation $200k to $250k. Backup CCO. New position.  100 advisors; 5k clients; 10 states; 20% advisor increase due to RIA firm acquisition.  20 year client of my firm.  Retailed search. Hybrid. Manhattan headquarters and can work out of Newark, NJ. 


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


National wealth management firm with offices in Manhattan and Newark, New Jersy:


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 the 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.


Responsibilities:


Qualifications:


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.