Managing Director- CCO

Managing Director - CCO

Hybrid, NJ

Seeking a Managing Director level candidate with extensive experience with Municipal and other Fixed Income Products (BD) and the Registered Investment Advisor (RIA) regulatory frameworks. Familiarity with Municipal Advisors (MA) is a plus

The Opportunity:

The Managing Director (CCO) Role will be responsible for leading the Municipal Advisor, RIA and Broker Dealer focused compliance program. The position requires a professional who is comfortable operating with autonomy, managing multiple client relationships, and contributing to the continued development of the firm’s compliance platform.

Specific responsibilities include:

• Serve as the primary compliance advisor for a portfolio of MA, BD, and RIA Clients.
• Be available to assist staff with regards to complex questions and interpretations of MSRB, SEC, and FINRA Rules.
• Partner with firm leadership to help shape and refine the firm’s MA, BD, and RIA compliance service offerings.
• Support business development through subject-matter expertise, including participation in prospect discussions, client meetings, and proposal development.
• Design, implement, and maintain RIA compliance programs in accordance with the Investment Advisors Act of 1940
• Draft and update written supervisory procedures, surveillance programs, compliance manuals, policies, procedures, and codes of ethics tailored to client business models.
• Support clients through all phases of a FINRA or SEC examination.
• Build and maintain advanced knowledge of appropriate regulatory agency policies and procedures.

Key Qualifications:

• Bachelor’s Degree
• 10+ years of prior financial services (MA, BD, RIA or RIC) compliance or audit experience
• Demonstrated ability to design, implement, and manage written supervisory procedures, surveillance programs, compliance manuals, policies, procedures, and codes of ethics
• Strong knowledge and understanding of MSRB, FINRA, and SEC regulations as they pertain to Municipal Securities and other Fixed Income products
• Experience serving as a primary point of contact for regulatory examinations
• Experience in dealing with cybersecurity programs and vendor management a plus
• Experience leading a team
• Proficiency in the Microsoft Office Suite including Excel, Word, PowerPoint, and Outlook
• Highly organized, adaptable, and motivated while bringing a positive attitude to solve difficult problems
• Comfortable working in a small, entrepreneurial firm setting