Chief Compliance Officer Job at Larson Maddox, Chicago, IL

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  • Larson Maddox
  • Chicago, IL

Job Description

A leading wealth management firm is seeking an experienced compliance professional to lead key initiatives across its RIA and broker-dealer operations. Reporting to the Executive Director, this role combines strategic oversight with hands-on execution in a fast-paced, collaborative environment. This role will be performed on a hybrid schedule in Chicago, IL.

Key Responsibilities

  • Lead compliance due diligence for advisor onboarding.
  • Serve as CCO for the firm's broker-dealer subsidiary.
  • Manage compliance policies, training, and operational processes.
  • Supervise a team and oversee case resolution.
  • Conduct regulatory research and drive process improvements.
  • Ensure adherence to SEC, FINRA, and internal standards.

Qualifications

  • 10+ years in RIA/broker-dealer compliance leadership.
  • FINRA Series 24 required; JD or certifications preferred.
  • Strong regulatory knowledge and communication skills.
  • Proven ability to lead teams and implement compliance programs.

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