Chief Compliance Officer

A well-established and growing wealth management firm headquartered in Pittsburgh, PA. The firm is seeking an experienced and proactive Chief Compliance Officer (CCO) to oversee and lead its compliance function. This full-time, in-office leadership role is responsible for developing, implementing, and maintaining policies and procedures that ensure compliance with SEC, federal, and state regulations., * Lead the development, implementation, and ongoing maintenance of the firm’s compliance program, including the Policies and Procedures Manual and Employee Manual, while serving as the primary internal resource for securities compliance matters and regulatory guidance.

• Conduct and document the firm’s annual compliance review, proactively identify areas of regulatory risk, and implement strategies to mitigate conflicts of interest and strengthen internal controls.
• Manage all regulatory filings and reporting requirements, including Form ADV updates (Parts 1, 2A, 2B, and CRS), and serve as the primary point of contact during SEC and state regulatory examinations.
• Oversee compliance monitoring and testing activities, including review of marketing materials, employee electronic communications, personal trading activity, and investment-related transactions, while also maintaining oversight of cybersecurity protocols and data protection practices under Reg S-P.
• Develop and deliver compliance policies, code of ethics materials, and employee training programs; stay current on evolving SEC and industry regulations including AI/AML developments; and provide leadership and oversight to members of the Compliance team through hiring, onboarding, supervision, and performance management.

Do you have experience in Securities law?, Do you have a Bachelor’s degree?, * Minimum of 5 years of experience in compliance, legal, or risk management within an RIA or financial services environment.

• Strong working knowledge of the Investment Advisers Act of 1940, SEC regulations, and fiduciary standards.
• Bachelor’s degree in finance, business, law, or a related field required. A JD, IACCP® designation, CAMS certification, or similar credentials are preferred.
• Excellent written and verbal communication skills with the ability to clearly present complex compliance concepts to employees and senior leadership, along with demonstrated leadership capabilities and sound professional judgment.
• Experience working with CRM platforms such as Salesforce, portfolio management systems, and compliance monitoring tools.

Pulled from the full job description

• 401(k)
• Health insurance
• Paid time off
• Vision insurance, * $180K - $220K
• Competitive compensation package and comprehensive benefits program including medical coverage, vision insurance, paid time off, and a 401(k) plan.
• Opportunity to join a stable and respected wealth management organization with a strong long-term growth outlook.
• Position offers the ability to make a meaningful impact while continuing to grow within a senior leadership capacity.