Job Description

A wealth management firm based in Tysons, VA is looking to add a Chief Compliance Officer to their team. This firm has been in business for almost 40 years and has over $6 billion in assets undermanagement with a track record of sustained growth.

Position Overview:

The Chief Compliance Officer will be responsible for developing, implementing, and monitoring the firm’s compliance program to ensure adherence to SEC and/or FINRA regulations, internal policies, and industry best practices. The ideal candidate will bring a strategic mindset, strong regulatory knowledge, and experience working within a Registered Investment Advisor (RIA) or similar wealth management environment.

Key Responsibilities:

• Develop, implement, and maintain the firm’s compliance policies, procedures, and internal controls.
• Serve as the primary liaison with regulatory bodies, including the SEC, FINRA, and state regulators.
• Conduct periodic compliance risk assessments and audits to evaluate the effectiveness of internal controls.
• Monitor changes in laws and regulations and ensure timely implementation of necessary policy updates.
• Oversee the annual compliance review and regulatory filings including Form ADV, Form U4/U5, Form CRS, and others.
• Lead employee training programs to ensure firm-wide understanding and adherence to compliance obligations.
• Manage responses to regulatory examinations and inquiries.
• Collaborate with executive leadership to align compliance objectives with the firm’s strategic goals.
• Oversee compliance with marketing and advertising regulations for investment advisers.
• Provide guidance on ethical standards, conflicts of interest, and fiduciary duty.

Qualifications:

• Bachelor’s degree required; JD, MBA, or advanced degree preferred.
• Minimum of 5-10 years of relevant compliance experience, ideally within an RIA or broker-dealer environment.
• In-depth knowledge of SEC regulations, Investment Advisers Act of 1940, and applicable state regulations.
• Proven leadership and management experience in a compliance role.
• Strong analytical, organizational, and communication skills.
• High degree of professional ethics and integrity.
• Experience with compliance technology platforms and tools is a plus.

View the full list of our open positions here: Main Line Search Job Openings

Job Tags

Similar Jobs