Chief Compliance Officer (CCO) – Wealth Management

Responsibilities

We are representing a confidential wealth management organization seeking an experienced Chief Compliance Officer to lead their compliance function. In this role, you will:

• Design, implement, and oversee the enterprise-wide compliance and regulatory framework
• Serve as the primary advisor to executive leadership and the Board on compliance matters and regulatory risks
• Develop and execute compliance strategy, policies, procedures, and governance frameworks aligned with business objectives
• Ensure adherence to securities laws, fiduciary obligations, anti-money laundering regulations, privacy requirements, and industry standards
• Oversee compliance programs covering investment advisory services, private banking, brokerage, trust and fiduciary services, and portfolio management
• Monitor regulatory developments, coordinate regulatory examinations, and ensure timely remediation of findings
• Lead Anti-Money Laundering (AML), Know Your Customer (KYC), sanctions screening, and financial crime prevention programs
• Establish risk-based compliance monitoring, testing, and surveillance programs including employee trade surveillance and conflict-of-interest management
• Review new products, investment strategies, and business initiatives for regulatory compliance
• Develop compliance training programs and promote awareness of regulatory obligations and ethical standards
• Prepare compliance reports, risk assessments, and dashboards for executive leadership, risk committees, and the Board
• Build and lead a high-performance compliance team across multiple jurisdictions

What We're Looking For

Education & Certifications:

• Bachelor's degree in Law, Finance, Accounting, Business Administration, Economics, or related field required
• Master's degree, MBA, or Juris Doctor (JD) preferred
• Professional certifications preferred: CRCM, CAMS, IACCP, CFA, or bar admission

Experience & Skills:

• 12–15+ years of compliance, legal, regulatory, or risk management experience
• Significant experience within wealth management, private banking, asset management, or brokerage environments
• Proven track record interacting with regulators, boards, and executive leadership teams
• Demonstrated success leading enterprise compliance programs
• Strong knowledge of fiduciary and investment advisory regulations, securities regulation, and financial crime prevention
• Expertise in compliance monitoring and testing, regulatory change management, conduct risk management, and trade surveillance
• Strategic leadership capabilities with strong ethical judgment and executive communication skills
• Experience with governance, risk, compliance frameworks and data privacy compliance

How We Work With You

Our talent team at Get A Job.ai partners with leading organizations to connect exceptional compliance professionals with career-defining opportunities. When you apply through our platform:

• A dedicated recruiter will review your qualifications and conduct an initial screening
• We'll prepare and submit your profile to our client for consideration
• We'll guide you through each stage of the interview process
• Please do not contact the client directly—all communication flows through Get A Job.ai to ensure a professional, coordinated process

Pay

Compensation details will be discussed during the screening process with our recruiting team.

Equal Opportunity: Get A Job.ai is committed to inclusive recruiting practices. We welcome applications from all qualified candidates regardless of race, color, religion, sex, national origin, age, disability, or any other protected characteristic.