Chief Compliance Officer

Position Overview:

As the Chief Compliance Officer (CCO), you will play a critical role in ensuring that our firm operates in full compliance with regulatory requirements and industry standards. You will oversee all aspects of compliance, develop and implement policies and procedures, and provide guidance to the executive team and staff on compliance matters. The ideal candidate will have a deep understanding of securities laws and regulations, strong leadership skills, and a proactive approach to compliance risk management.

Responsibilities:

• Develop, implement, and maintain an effective compliance program that aligns with regulatory requirements and industry best practices.
• Monitor and assess the firm's compliance with applicable laws, rules, and regulations, including but not limited to SEC and FINRA regulations.
• Conduct regular compliance reviews and audits to identify areas of potential risk and implement corrective actions as needed.
• Provide ongoing training and education to employees on compliance policies, procedures, and regulatory requirements.
• Serve as the primary point of contact for regulatory agencies and conduct regulatory examinations and inquiries.
• Stay current on industry trends, regulatory developments, and best practices in compliance.
• Prepare and submit regulatory filings, reports, and disclosures as required.

Qualifications:

1. Bachelor’s or Master’s degree in finance, business, law, or related field required.

2. Juris Doctor preferred.

3. Minimum of 5 years of experience in compliance roles within the financial services industry, preferably in an RIA.

4. In-depth knowledge of securities laws and regulations, including SEC and FINRA rules.

5. Proven experience developing and implementing compliance programs and policies.

6. Strong analytical skills with the ability to assess and mitigate compliance risks effectively.

7. Excellent communication and interpersonal skills, with the ability to interact confidently with financial advisors, administrative staff and regulators.

8. Ability to work independently, prioritize tasks, and handle multiple projects simultaneously in a fast-paced environment.

9. Ethical integrity and a commitment to upholding the highest standards of compliance and professionalism.

Benefits:

• Competitive salary.
• Comprehensive benefits package, including health insurance, retirement plans, fitness reimbursement program, and paid time off.
• Opportunities for professional development and career advancement with a rapidly expanding firm that manages over $1.1 billion in client assets.
• Collaborative and dynamic work environment with opportunities to make a meaningful impact.

If you believe you meet the qualifications and are excited about the opportunity to lead our compliance department, we encourage you to apply. Please submit your resume and cover letter detailing your relevant experience and accomplishments. We look forward to reviewing your application.

Job Type: Full-time

Pay: $75,000.00 - $150,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Parental leave
• Professional development assistance
• Retirement plan
• Vision insurance

Schedule:

• Monday to Friday

Ability to Relocate:

• Novi, MI 48375: Relocate before starting work (Required)

Work Location: In person