What are the responsibilities and job description for the Broker Dealer Chief Compliance Officer position at Oakpoint Advisors?
Oakpoint Advisors specializes in crafting and executing bespoke capital formation strategies for private funds and companies. Through its registered broker-dealer, Oakpoint Solutions LLC, the firm collaborates with select GPs and companies in a private placement capacity. In addition, Oakpoint Advisors provides comprehensive outsourced Investor Relations services. Headquartered in Tampa, Florida, and established in 2009.
Responsibilities
Regulatory Compliance & Oversight
- Serve as the firm’s FINRA-designated CCO , ensuring adherence to all applicable regulations, including SEC and FINRA rules, as well as state and federal securities laws.
- Stay up to date on evolving regulatory requirements and proactively advise on compliance risks.
- Oversee AML / KYC programs , ensuring full compliance with the Bank Secrecy Act (BSA) and other applicable anti-money laundering regulations.
- Conduct annual compliance reviews , risk assessments, and internal audits to ensure adherence to best practices.
- Supervise and provide guidance to registered representatives and associated persons to ensure they comply with firm policies and industry regulations.
- Lead firm-wide compliance training programs , ensuring that all employees and stakeholders understand their regulatory obligations.
- Maintain, monitor, and enforce the firm’s Written Supervisory Procedures (WSPs) in accordance with FINRA Rule 3110.
Qualifications
10 years of experience in broker-dealer compliance, preferably within a firm specializing in capital raising for private funds.
Current FINRA Series 24 (Principal) license required ; Series 7, 63, 79, or other relevant licenses are a plus.
In-depth knowledge of SEC, FINRA, and other regulatory requirements governing limited-purpose broker-dealers and private fund capital raising.
Experience managing FINRA / SEC examinations and regulatory filings .
Strong familiarity with Reg D offerings, private placements, and alternative investments .
Excellent leadership and communication skills, with the ability to work closely with senior executives, legal teams, and regulatory agencies.
Bachelor’s degree required; JD, MBA, or equivalent experience preferred.