Deputy Chief Compliance & Risk Officer, Retirement & Private Wealth
About the Company
Profitable insurance brokerage providing investment & wealth management solutions
Industry
Insurance
Type
Privately Held, Private Equity-backed
Founded
1998
Employees
10,001+
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a Deputy Chief Compliance and Risk Officer for its Retirement and Private Wealth division. This senior leadership role is pivotal in supporting the business's growth while ensuring robust risk mitigation and enhancing SEC compliance infrastructure. The successful candidate will be responsible for implementing, updating, and maintaining SEC investment advisor and FINRA compliance policies and procedures. This includes conducting annual risk assessments, enforcing the Code of Ethics, and identifying and implementing compliance and operational efficiencies. The role also involves leading a team, staying abreast of regulatory requirements, and developing and delivering compliance training initiatives. Applicants must have a Juris Doctor (JD) degree, a minimum of 10 years' experience in SEC regulatory compliance within a large financial services firm, and a strong understanding of investment advisor business activities. The role requires excellent communication skills, the ability to manage a varied workload, and a collaborative approach to building professional relationships. The Deputy Chief Compliance and Risk Officer will also be involved in the annual ADV process and the investment due diligence process for SEC compliance and operational reviews. The ideal candidate will be a strategic thinker, adept at problem-solving, and capable of challenging and addressing difficult issues with a collegial and collaborative approach.
Hiring Manager Title
Global/Executive Chief Compliance and Risk Officer
Travel Percent
25%
Functions
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