Deputy CCO

Integrity•Urbandale, IA

About The Position

The Deputy Chief Compliance Officer (CCO) role is a senior leadership position responsible for designing, implementing, and maintaining a comprehensive, risk-based compliance program for a regulated financial services entity. This role requires deep regulatory and technical expertise, strong risk identification and mitigation judgment, and the ability to influence and partner with senior leadership. The Deputy CCO will oversee compliance systems and controls, lead training and ethics programs, and foster a culture of compliance. This position also involves building, coaching, and managing compliance staff and collaborating across various business functions.

Requirements

Deep Regulatory and Technical Expertise in U.S. securities laws and regulatory frameworks applicable to investment advisory and broker-dealer activities.
Extensive experience with BD and RIA regulatory frameworks, including SEC, FINRA, MSRB, and state securities requirements.
Strong working knowledge of the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, related SEC and FINRA rules, supervisory structures, and industry best practices.
Hands-on familiarity with retail brokerage, advisory platforms, annuity and alternative products, and prudent investor standards.
Proven Leadership of Compliance Programs.
Strong Risk Identification and Mitigation Judgment.
Ability to influence and partner with Senior Leadership.
Operational Excellence and Systems Oversight.
Executive-Level Communication and Judgment.
Management Experience.
10+ years of broker dealer and investment adviser compliance experience.
Series 7, Series 24, and Series 63/Series 65 or Series 66 Licenses (at time of hire).
Series 4, 14, and 53 Licenses required within six months of hire if not already held.
A “no-ego,” team-oriented approach that builds trust across business units and with senior leadership.
Adaptability in a fast-growing organization where regulatory demands and business priorities continue to evolve.

Responsibilities

Design, implement, and maintain a comprehensive, risk-based compliance program.
Oversee annual compliance reviews, including Rule 206(4)-7 and 3120 testing.
Manage oversight of monitoring and surveillance activities.
Continuously evolve policies and procedures to reflect regulatory and business changes.
Lead risk assessments, identify trends, and propose remediation strategies.
Diagnose emerging regulatory risks and implement proactive, technology-enabled oversight and testing mechanisms.
Participate in governance committees and business meetings.
Clearly communicate compliance expectations and provide strategic guidance.
Oversee the implementation, integration, and ongoing maintenance of compliance systems and controls.
Supervise best-execution reviews, due diligence processes, branch examinations, marketing review, AML oversight, licensing and registration functions, and surveillance activities.
Own compliance education and training programs.
Administer the Code of Ethics and reinforce ethical standards.
Foster a culture of compliance while maintaining discretion, professionalism, and confidentiality.
Build, coach, and manage compliance staff.
Partner effectively across legal, risk, and business functions.