A well-established, fast-growing financial services firm in Miami is seeking a dynamic Chief Compliance Officer to oversee the firm’s regulatory program across its broker-dealer and investment adviser operations. This is an exceptional role for someone who thrives in a collaborative environment, enjoys being close to the business, and wants to play a pivotal role in strengthening and modernizing a firm’s compliance infrastructure.
The ideal candidate brings deep working knowledge of FINRA/SEC regulations and has the confidence to provide clear, practical guidance to senior leadership. While you do not need decades of C-suite experience, the firm values strong judgment, responsiveness, and the ability to simplify compliance for advisors and internal stakeholders. Candidates with previous legal training or JD experience — even if they didn’t pursue a traditional legal career — are highly encouraged to apply.
What You’ll Do:
- Own day-to-day compliance oversight for both the broker-dealer and RIA
- Review marketing, communications, and client-facing materials with precision and clarity
- Conduct ongoing supervision, branch oversight, and periodic internal reviews
- Serve as the primary liaison with FINRA and other regulatory bodies
- Partner closely with senior leadership to enhance processes, policies, and risk management frameworks
- Provide real-time, business-oriented compliance guidance to advisors and internal teams
- Identify gaps or issues proactively and implement straightforward, effective solutions
- Lead and mentor a small compliance team, fostering a supportive, high-performing culture
What You Bring:
- Experience working within a broker-dealer or registered investment adviser (BD experience strongly preferred)
- Solid understanding of FINRA rules, supervisory systems, and regulatory filings
- Strong communication skills, with the ability to distill regulatory concepts into clear, actionable guidance
- A proactive mindset — someone who anticipates issues before they become problems
- A JD or legal background is a major plus; perfect for someone who likes being the first line of review before outside counsel
- Prior experience in a compliance leadership role is helpful, but not strictly required for the right high-potential candidate
Why This Role:
This is a rare chance to step into a highly visible compliance seat at a long-standing, stable firm that values collaboration, transparency, and doing things the right way. You’ll have the autonomy to elevate the function, partner directly with senior executives, and shape the future of the firm’s regulatory framework — all while living and working in Miami.
If you’re an ethical, thoughtful, and business-minded compliance professional looking for your next chapter, we’d love to connect.