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Chief Compliance Officer

NPAworldwide Recruitment Network

Last Updated: 9/24/22

Job Description

Job description:

Top Tier, @3B AUM, RIA is seeking a experienced, high motivated Chief Compliance Officer (CCO)

oversee the broker dealer, RIA and Insurance agency compliance

will lead all compliance issues along with regulatory interaction and audit functions.

  • Education: Minimum of a Bachelors Degree; Masters Degree Preferred.
  • Licenses: FINRA Licensed Series 7, Series 24, Series 63; Series 65/66 License Preferred
  • Experience: Minimum of 10+ years experience in the financial industry.
  • Knowledge and Skills: Effective organizational and communication skills, knowledge of Microsoft Office products
Why is This a Great Opportunity:

Forward -thinking RIA,

Standard Benefits: health, dental, 401k etc

compensations is extremely competitive.

Company Details

Grand Rapids, Michigan, United States
NPAworldwide connects you to premier independent recruiting firms located throughout Europe, Asia, Australia, Africa and the Americas. Get connected with members around the world to widen your employer pool, get specialized placements, and find perfect matches -- all at no cost. Our members are placement professionals seeking long-term fits. Working with our recruiters gets you access to relocatio...