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Chief Compliance Officer

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Focus Financial PartnersNew York, IA
  • New Chief Compliance Officer Position This is an outstanding opportunity for an experienced compliance professional to become the Chief Compliance Officer (CCO) for a growing multi-line SEC registered investment adviser (RIA).
  • The RIA is part of Focus Financial Partners (NASDAQ: FOCS), a leading partnership of wealth management firms located throughout the United States and abroad (www.
  • The successful candidate will be self-motivated with sufficient knowledge and experience to work independently in a dynamic and entrepreneurial environment.
  • This individual will join a growing, collegial team.
  • Main Responsibilities: Develop an overall strategic vision for the compliance function, effectively manage and mitigate legal and regulatory risk, establish proper controls and support business initiatives.
  • Manage all regulatory exams and inquiries.
  • Implement compliance testing and reviews and resolve issues to minimize exposure.
  • Proactively collaborate with other departments to ensure compliance issues are identified, investigated and resolved.
  • Prepare all regulatory filings including Form ADV and Form CRS. Support M&A transactions by assisting with regulatory due diligence.
  • Maintain the compliance manual and conduct employee training.
  • Review and approve marketing materials and manage customer complaints.
  • Maintain and implement the 206(4)-7 program.
  • Qualifications: Thorough knowledge, understanding and application of the Investment Advisers Act of 1940.
  • At least five years’ experience as a Chief Compliance Officer or Deputy CCO. Lawyers with an interest in a compliance career will also be considered.
  • Juris Doctor degree and legal experience, a significant plus.
  • Experience with M&A, a significant plus.
  • Experience at the SEC, a significant plus.
  • Ability to work in a dynamic environment and manage multiple projects efficiently.
  • Sound business judgment and the ability to think strategically.
  • Excellent written and oral communication skills.
  • Proficiency with the Microsoft Office suite of applications.
  • Compensation is competitive and includes excellent benefits.
  • This position Involves some travel.
  • Please send your resume indicating the position you are applying for in the subject line to

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