Chief Compliance Officer, Financial Services (Hybrid)
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De functie
Oversee and elevate the enterprise-wide compliance program across multiple business lines, including broker-dealers and investment advisers.
Develop, implement, and maintain policies, controls, and training to ensure adherence to SEC, FINRA, and applicable state regulations.
Lead, mentor, and develop a high-performing compliance team; drive risk assessments, monitoring, and remediation activities.
Partner with senior executives to shape risk-based governance, escalation, and reporting to boards and committees.
Requires 15+ years of financial services compliance experience with proven leadership and program-building capabilities; CRCM or related certification preferred.
Hybrid role based in Newton, MA with a competitive salary range of $250k-$300k plus comprehensive benefits; strong analytical and communication skills required.
Develop, implement, and maintain policies, controls, and training to ensure adherence to SEC, FINRA, and applicable state regulations.
Lead, mentor, and develop a high-performing compliance team; drive risk assessments, monitoring, and remediation activities.
Partner with senior executives to shape risk-based governance, escalation, and reporting to boards and committees.
Requires 15+ years of financial services compliance experience with proven leadership and program-building capabilities; CRCM or related certification preferred.
Hybrid role based in Newton, MA with a competitive salary range of $250k-$300k plus comprehensive benefits; strong analytical and communication skills required.
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