Chief Compliance Officer (Boca Raton)

Qualifications and Experience

Minimum 10 years of experience in securities industry compliance, including leadership roles within a broker-dealer or hybrid broker-dealer/RIA environment.

Prior experience serving as a Chief Compliance Officer, Deputy CCO or senior compliance executive at a regulated financial services firm.

Strong working knowledge of FINRA, SEC and state regulatory frameworks governing broker-dealers and investment advisers.

Demonstrated experience managing regulatory examinations and regulatory inquiries.

Experience with independent broker-dealer platforms and alternative investments is strongly preferred.

Proven leadership ability with experience managing and developing compliance teams.

Required Licenses

Candidates must hold or be able to obtain the following

FINRA registrations:

· Series 7

· Series 24

· Series 63

· Series 65 or Series 66

Preferred Licenses:

· Series 4

· Series 53

Nice to Have Skills & Experience

Prior experience within an independent broker‑dealer platform

Alternative investments exposure

Experience overseeing both brokerage and advisory compliance programs simultaneously

Background supporting firm growth, new products, or business expansion initiatives

Strong history of building and scaling compliance teams

Job Description

The Chief Compliance Officer (“CCO”) serves as a senior member of the executive leadership team and is responsible for the design, implementation and oversight of the firm’s enterprise compliance program across its broker-dealer and registered investment adviser businesses.

This role provides strategic leadership in managing regulatory risk, maintaining a strong culture of compliance and ensuring the firm’s supervisory systems, policies and procedures align with applicable FINRA, SEC and state regulatory requirements.

The CCO works closely with senior leadership, legal counsel and regulators to support the firm’s continued growth while maintaining the highest standards of regulatory integrity and investor protection.