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Chief Compliance Officer (Filled)

Leah Yosef International
On-site
Boston, Massachusetts, United States

Multi-Billion AUM RIA 

Overview
Multi-Billion AUM RIA seeks a Chief Compliance Officer to provide executive
leadership and strategy over compliance, risk management, control & operations. 
 
The CCO will oversee regulatory compliance and play a key role in the diligence and
integration of all acquired businesses for a firm that has been growing extensively
through acquisitions.  
  
Highlights 

  • Oversee all compliance, regulatory interaction and audit functions for a fast
    growing, multi-billion AUM RIA 
  • Develop and implement an overall strategic vision for the compliance functional
    areas in an entrepreneurial, growth minded culture 
  • Proactively collaborate with Sales, Legal, Marketing, Operations, and other
    departments to ensure compliance issues are resolved 
  • Manage the compliance review of all marketing materials produced by the firm. 
  • Competitive base compensation, profit and performance driven bonuses and
    excellent benefits 


 Requirements 

  •  5+ years’ RIA compliance or Law Firm SEC compliance experience