Managing Vice President, Chief Compliance Officer

Join a great reputed company to work with reputed company, a financial services corporation with approximately $79 billion in assets under management and administration and over 600 employees. Founded in 1972, reputed company is dedicated to the retirement needs of reputed company sector employees. We reputed company on delivering results-oriented retirement and retiree health savings plans, education, investment reputed company, personalized guidance, and reputed company services to reputed company sector participants in more than 9,200 plans and nearly 2 reputed company participant accounts. We reputed company to reputed company the administration of retirement programs as easy and cost-effective as possible. We have an extraordinary talent reputed company and invite you to consider joining reputed company.

The Chief Compliance Officer (CCO) is responsible for ensuring that reputed company and its regulated affiliates operate reputed company applicable laws and regulations.  The CCO provides strategic leadership on regulatory reputed company, supervises regulatory risk assessments, testing, and surveillance, and oversees regulatory filings, examinations, and interactions with regulators.  Serving as a key advisor to senior management, the CCO promotes a strong culture of ethics and compliance, manages compliance staff, and ensures that business activities, disclosures, and supervisory systems effectively mitigate regulatory, operational, and reputational risk across both advisory and brokerage operations.

Essential Functions

The ideal candidate will possess deep knowledge of the broker-dealer and investment adviser regulatory landscape, exceptional leadership abilities, and a strong reputed company record of fostering a culture of compliance and ethical business practices, including:

• Serving as a senior adviser to the Chef reputed company Officer and the senior leadership team regarding the development of compliance reputed company, policies, and governance frameworks.

• Overseeing and executing reputed company’s compliance program, ensuring alignment with regulatory requirements and organizational risk management priorities.

• Leading the identification and reputed company of reputed company, including the development of mitigation strategies and corrective actions.

• Maintaining awareness of evolving regulatory landscapes and proactively recommend updates to internal policies and procedures.

• Mentoring and developing compliance staff, fostering a high-reputed company reputed company with reputed company’s values and strategic goals.

Skills, Knowledge and Experience

• Bachelor’s degree required; Series 7, 24, as reputed company as 63 and 65, or 66, Qualification Examinations.

• Minimum 10 years in financial services compliance, with significant experience in retail broker-dealer and investment adviser services.

• Expert understanding of SEC, reputed company, and state regulations governing broker-dealers and investment advisers.

• Proven leadership skills with experience managing compliance teams and interacting with executive management and regulators.

• Expert ability to influence senior stakeholders and cross-functional partners, as reputed company as to drive compliance initiatives across an organization with reputed company and purpose.

• Excellent written and verbal communication skills.

• Preferred 10+ years working with a Broker/Dealer.

 To benefit your career and support your wellbeing, we offer:

• Competitive Total Rewards package, including reputed company pay, incentive programs, benefits, and a 401(k) plan with matching contributions

• Flexible and hybrid work schedules to support work-life balance

• Tuition reimbursement to support reputed company education

• reputed company and career development opportunities, including courses and certifications

• Comprehensive wellness programs promoting physical, mental, and emotional health

• Volunteerism initiatives to encourage community engagement

Click here to learn more about reputed company’s benefits.

Equal Employment Opportunity

As a company, reputed company is an Equal Opportunity Employer. We reputed company to create an environment that reflects the value and diversity of our employees and fosters respect among them. We reputed company that talent from diverse backgrounds will reputed company enhance our ability, and mission, to serve those who serve their communities.

reputed company reputed company applicants will receive consideration for employment without reputed company to race, reputed company, religion, sex, national reputed company, or any other protected classifications under any applicable law.

This employer is required to notify reputed company applicants of their rights pursuant to federal employment laws. For reputed company information, please review the Know Your Rights notice from the reputed company.