Chief Compliance Officer (Boca Raton)
Insight Global, Boca Raton, FL, United States
Qualifications and Experience
Minimum 10 years of experience in securities industry compliance, including leadership roles within a broker-dealer or hybrid broker-dealer/RIA environment.
Prior experience serving as a Chief Compliance Officer, Deputy CCO or senior compliance executive at a regulated financial services firm.
Strong working knowledge of FINRA, SEC and state regulatory frameworks governing broker-dealers and investment advisers.
Demonstrated experience managing regulatory examinations and regulatory inquiries.
Experience with independent broker-dealer platforms and alternative investments is strongly preferred.
Proven leadership ability with experience managing and developing compliance teams.
Required Licenses
Candidates must hold or be able to obtain the following
FINRA registrations:
· Series 7
· Series 24
· Series 63
· Series 65 or Series 66
Preferred Licenses:
· Series 4
· Series 53
Nice to Have Skills & Experience
Prior experience within an independent broker‑dealer platform
Alternative investments exposure
Experience overseeing both brokerage and advisory compliance programs simultaneously
Background supporting firm growth, new products, or business expansion initiatives
Strong history of building and scaling compliance teams
Job Description
The Chief Compliance Officer (“CCO”) serves as a senior member of the executive leadership team and is responsible for the design, implementation and oversight of the firm’s enterprise compliance program across its broker-dealer and registered investment adviser businesses.
This role provides strategic leadership in managing regulatory risk, maintaining a strong culture of compliance and ensuring the firm’s supervisory systems, policies and procedures align with applicable FINRA, SEC and state regulatory requirements.
The CCO works closely with senior leadership, legal counsel and regulators to support the firm’s continued growth while maintaining the highest standards of regulatory integrity and investor protection.
Minimum 10 years of experience in securities industry compliance, including leadership roles within a broker-dealer or hybrid broker-dealer/RIA environment.
Prior experience serving as a Chief Compliance Officer, Deputy CCO or senior compliance executive at a regulated financial services firm.
Strong working knowledge of FINRA, SEC and state regulatory frameworks governing broker-dealers and investment advisers.
Demonstrated experience managing regulatory examinations and regulatory inquiries.
Experience with independent broker-dealer platforms and alternative investments is strongly preferred.
Proven leadership ability with experience managing and developing compliance teams.
Required Licenses
Candidates must hold or be able to obtain the following
FINRA registrations:
· Series 7
· Series 24
· Series 63
· Series 65 or Series 66
Preferred Licenses:
· Series 4
· Series 53
Nice to Have Skills & Experience
Prior experience within an independent broker‑dealer platform
Alternative investments exposure
Experience overseeing both brokerage and advisory compliance programs simultaneously
Background supporting firm growth, new products, or business expansion initiatives
Strong history of building and scaling compliance teams
Job Description
The Chief Compliance Officer (“CCO”) serves as a senior member of the executive leadership team and is responsible for the design, implementation and oversight of the firm’s enterprise compliance program across its broker-dealer and registered investment adviser businesses.
This role provides strategic leadership in managing regulatory risk, maintaining a strong culture of compliance and ensuring the firm’s supervisory systems, policies and procedures align with applicable FINRA, SEC and state regulatory requirements.
The CCO works closely with senior leadership, legal counsel and regulators to support the firm’s continued growth while maintaining the highest standards of regulatory integrity and investor protection.