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.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone mat...