Chief Compliance Officer - BD / RIA

Florida, FL

Industry: Financial Institutions Job Number: Job-1532

Bell & Associates Banking and Financial services group has been engaged to work on a search to find strong compliance leader for a growing independent broker dealer / RIA located in the Southeast.  

Our client is a 500+/- advisor, Independent Broker Dealer & RIA with a combined $40 billion AUM with offices is most states across the country.

WHAT DOES OUR CLIENT OFFER?

  • Competitive compensation package in the $150-225K range for base compensation

  • Bonus earnings as well as potential for equity in the firm

  • Strong benefits package

  • Excellent career growth as the firm grows

ABOUT THE ROLE

Ideally, we are looking for someone with 10 plus years of compliance experience on both the BD and RIA side of the business. You will be leading a team including two directors and a staff of around 12, covering the full range of compliance functions for the firm. Must be someone who embraces technology and is not afraid to be early adopters of new tools both internally and for advisors. This will be a busy CCO role as remaining status quo will not be the rule. As new tools are available in the market, this compliance team will explore how to utilize them while protecting the company, advisors and clients.

PREFERRED BACKGROUND / SKILLS

  • 10+ Year of compliance experience in the financial services industry

  • FINRA exams 7 & 24 (or 9 &10) are required

  • Both Broker Dealer and RIA side compliance

  • Ability to relocate to our client s location

BETTER TALENT. BETTER OPPORTUNITY. FIND IT HERE. 

The Financial Institutions Group at Bell & Associates, Inc. Works with top-tier broker-dealers, registered investment advisors (RIA), asset managers, investment banks, community and regional banks across the country.

Are you a driven professional in the financial services industry seeking a new challenge? The Financial Institutions Group at Bell & Associates, Inc. Is working on permanent placement opportunities including C-level/executive & leadership roles in compliance, operations, analysis and production that allow you to advance your career. Our practice is based in the Midwest but our clients span the country.

Contact us today travis@bellsearchfirm.Com or 913-254-3005
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