Judson Group has been retained by a $5B+ independent financial planning and investment advisory firm in the search for a Chief Compliance Officer . The CCO reports directly to the President and is an integral member of the leadership team. The CCO will be a hands-on leader, taking the lead by managing all regulatory compliance matters for the firm and executing the broker dealer’s compliance program.
This individual will provide leadership, management, and vision necessary to ensure that the firm is in accordance with compliance protocol, has the proper operational controls, administrative and reporting procedures, and systems in place to effectively grow the firm, ensuring financial strength through compliance and regulatory accuracy and efficiency. The ideal candidate will be a senior compliance leader who has supported compliance and regulatory programs for an RIA and has strong knowledge of all related compliance and regulatory rules and procedures.
Responsibilities:
Requirements:
Compensation:
Competitive base salary, bonus, and benefits
Location:
Minneapolis, Minnesota/Remote within the Midwest is a possibility for the right candidate
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