Chief Compliance Officer

Drake & Associates • Waukesha, WI

9d

About The Position

Drake & Associates is seeking an experienced Chief Compliance Officer (CCO) to lead and manage the firm's compliance program. As our primary compliance professional and a member of the Leadership Team, the CCO will serve as both a hands-on compliance expert and strategic business partner. The Chief Compliance Officer will own the day-to-day execution of the compliance function, including regulatory filings and examinations, compliance testing and monitoring, audits and risk assessments, policies and procedures, advertising and marketing review, employee compliance, and regulatory training. We are looking for someone who can independently manage a comprehensive compliance program while partnering with leadership to identify risk, strengthen processes, and develop practical solutions that protect the firm and support continued growth.

Requirements

• Bachelor's degree in Business, Finance, Accounting, Legal Studies, Political Science, or a related field.
• 7+ years of progressive compliance, supervision, or regulatory experience within financial services.
• Significant experience working within or supporting a Registered Investment Adviser (RIA).
• Strong knowledge of SEC regulations applicable to investment advisers.
• Hands-on experience with compliance testing and monitoring, audits, risk assessments, regulatory filings and examinations, and policies and procedures.
• Experience with advertising and marketing compliance, Code of Ethics administration, personal securities transactions, and employee disclosures.
• Strong judgment and the ability to interpret complex regulatory requirements and translate them into practical business solutions.
• Ability to work independently, manage competing priorities, and take ownership of the compliance function.
• Strong communication and relationship-management skills with the confidence to advise and appropriately challenge senior leadership.

Nice To Haves

• Previous experience as a CCO, Deputy CCO, Compliance Director, Chief Supervision Officer, Senior Compliance Officer, or similar role.
• 10+ years of progressive financial services compliance and/or supervision experience.
• Experience within a growing RIA or wealth management firm.
• Relevant securities registrations, such as Series 7, 24, 9/10, 63, 65, and/or 66.

Responsibilities

• Own and manage the firm's compliance program and maintain policies, procedures, controls, and required regulatory records.
• Develop and execute compliance testing and monitoring, annual reviews, internal audits, and ongoing risk assessments.
• Identify compliance gaps and areas of risk, implement corrective actions, and track remediation.
• Manage required SEC and regulatory filings and lead preparation for regulatory examinations, inquiries, and audits.
• Review and approve advertising and marketing materials for compliance with applicable SEC requirements.
• Oversee employee compliance requirements, including licensing and registrations, Code of Ethics, personal securities trading, disclosures, conflicts of interest, and outside business activities.
• Monitor regulatory developments and implement necessary changes to firm policies and business practices.
• Develop and deliver compliance training and serve as the primary compliance resource for employees and advisors.
• Serve as an active member of the Leadership Team, advising on regulatory risk, business initiatives, operational changes, technology, and firm growth.
• Partner across the organization to strengthen and scale compliance processes while balancing regulatory requirements with practical business needs.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior