Chief Compliance Officer - Wealth Management

Judson Group has been retained by a $5B independent financial planning and investment advisory firm in the search for a Chief Compliance Officer. The CCO reports directly to the President and is an integral member of the leadership team. The CCO will be a hands-on leader, taking the lead by managing all regulatory compliance matters for the firm and executing the broker dealer’s compliance program.

This individual will provide leadership, management, and vision necessary to ensure that the firm is in accordance with compliance protocol, has the proper operational controls, administrative and reporting procedures, and systems in place to effectively grow the firm, ensuring financial strength through compliance and regulatory accuracy and efficiency. The ideal candidate will be a senior compliance leader who has supported compliance and regulatory programs for an RIA and has strong knowledge of all related compliance and regulatory rules and procedures.

Responsibilities:

• Responsible for oversight of the firm’s compliance program, ensuring regulatory compliance with all policies and goals.
• Lead the internal compliance team and oversee outside service providers.
• Develop and implement policies and procedures designed to comply with all relevant laws, rules, and regulations.
• Responsible for review and maintenance of all documentation, books, records, reports, marketing materials, and social media to ensure proper disclosures and regulatory compliance.
• Oversee the preparation and filing of RIA regulatory filings.
• Perform regular compliance assessments including assessing risk inherent to various business activities, deliver recommendations and oversee remediation projects.
• Work with all departments to resolve any compliance issues.
• Work with external legal counsel, as needed, with respect to guidance for the firm.
• Continuously stay current on regulatory changes.

Requirements:

• 10 years of RIA compliance experience.
• Bachelor’s degree; Advanced degree (MBA) preferred.
• Active and valid Series 24, 7, 4, 53, and 66 are highly preferred.
• Deep knowledge of current and proposed SEC rules and regulations.
• Familiar with Finra and ERISA rules and regulations.
• Superior management skills including the ability to influence and engage direct and indirect reports and peers.
• Ability to collaborate with various members of the firm.
• Exhibit accountability and leadership when it comes to all compliance functions.
• Strong writing, communication, and technology skills.

Compensation:

Competitive base salary, bonus, and benefits

Location:

Minneapolis, Minnesota

Remote within the Midwest is a possibility for the right candidate