Chief Compliance Officer (CCO), Brokerage & RIA Greater New York City, NY Area

The Company is seeking a Chief Compliance Officer to lead its U.S. investment compliance functions, oversee the compliance program for a registered investment adviser, and guide an introducing broker-dealer application and launch. Responsibilities include maintaining policies, risk assessments, monitoring, testing, and annual reviews; developing supervisory procedures and controls; and overseeing digital investment advice, marketing, disclosures, registrations, conflicts, brokerage operations, records, and customer protection. The CCO will lead regulatory examinations and inquiries, coordinate audits and remediation, train employees, and work across legal, operations, technology, and financial-crime functions to embed effective controls. Candidates should have at least 10 years of progressive securities compliance experience and prior experience as a CCO for a registered investment adviser or broker-dealer. A Series 24 qualification and direct experience supporting or leading a broker-dealer membership application are required. Strong knowledge of securities laws, regulatory requirements, and rules governing supervision, communications, records, registrations, and customer protection is essential. Applicants should also bring experience with introducing broker-dealers and clearing firms, adviser compliance programs, digital investment platforms, automated advice, and self-directed brokerage, along with sound judgment, strong writing, and confidence engaging regulators and senior leaders.

Hiring Company

ARQ