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CCO & General Counsel

CCO & General Counsel job! Our Client has grown from one location to an organization now operating numerous locations across multiple states and additional separate entities. They are an independent financial services firm helping individuals create retirement strategies using a variety of investment and insurance products to custom suit their needs and objectives. Our Client focuses on financial advice while incorporating tax strategies, retirement, and estate planning.

Exceptional opportunity for an individual looking to grow their career with a growing company. The CCO & General Counsel job's salary is $240k to $300k DOE + Bonus. This CCO & General Counsel job is located in Denver, CO. However, Hawaii is also a possibility. Apply now for this excellent CCO & General Counsel job by following the instructions at the end of this Job description!

Job Summary

The General Counsel (GC) and Chief Compliance Officer (CCO) will lead and oversee the firm's Legal and Compliance functions. In this dual executive role, the GC/CCO will manage the systems, processes, and staff that support enterprise-wide legal and compliance operations.

Reporting directly to the Chief Executive Officer (CEO) and serving as a key member of the Executive Leadership Team, the GC/CCO will play a critical role in shaping strategy, managing risk, and ensuring regulatory integrity. Moreover, this leader will design, implement, and continuously enhance legal and compliance programs that support the firm's fiduciary obligations to clients, employees, and shareholders.

Duties and Responsibilities

• Executive Leadership

  • Serve as a senior executive leader, actively participating on the executive committee to shape company strategy and policy.
  • Provide strategic direction to support the achievement of annual KPIs, three-year objectives, and long-term organizational goals.
  • Advise executive leadership on enterprise risk, governance, and regulatory matters that impact business performance and growth.

• Legal

  • Provide strategic legal counsel to executive leadership on corporate governance, regulatory compliance, and risk management.
  • Oversee all legal affairs of the organization, including:
    • Contracts and commercial agreements
    • Litigation, arbitration, and dispute resolution
    • Intellectual property matters
    • Corporate transactions and mergers & acquisitions
  • Identify, assess, and mitigate legal risks, including regulatory enforcement actions and liability exposure.
  • Manage and coordinate external legal counsel, while evaluating performance, responsiveness, and cost-effectiveness.
  • Represent the organization in legal proceedings, negotiations, and interactions with regulatory agencies.
  • Draft, review, and negotiate a broad range of legal documents, including:
    • Client and vendor contracts
    • Employee agreements and employment-related documentation
    • M&A agreements and transaction documents
  • Develop and implement legal policies, procedures, and best practices to ensure ongoing compliance with applicable laws and regulations.
  • Conduct legal research and analysis to anticipate emerging risks and recommend proactive mitigation strategies.
  • Stay current on legal developments and industry trends affecting the organization's operations.
  • Collaborate cross-functionally with finance, human resources, operations, and compliance to support business objectives.
  • Provide legal training and guidance to employees on relevant legal and regulatory matters.
  • Serve as the primary liaison with external legal counsel, regulatory agencies, and industry associations.

• Compliance

  • Lead the strategic evolution of the compliance program to address an increasingly complex and dynamic regulatory environment.
  • Partner with leadership and business teams to deepen understanding of regulatory requirements governing RIAs and broker-dealers.
  • Oversee adherence to compliance policies by:
    • Investment advisors
    • Registered representatives
    • Associated and access persons
    • Home-office employees
  • Collaborate with portfolio management, operations, finance, and marketing to identify, escalate, and resolve compliance issues.
  • Direct marketing and advertising review efforts, ensuring all materials comply with regulatory requirements, disclosures, and firm policies.
  • Develop and mentor direct reports, strengthening the effectiveness and scalability of the compliance function.
  • Research and interpret regulatory changes, including SEC and FINRA examination priorities and rule updates.
  • Maintain and enhance the Code of Ethics and Policies & Procedures manuals.
  • Ensure delivery of compliance training, tailored to audience, role, and business model requirements.
  • Oversee the annual compliance review pursuant to Rule 206(4)-7, while documenting findings, remediation actions, and audit outcomes.
  • Identify process deficiencies that may lead to internal or regulatory non-compliance and drive corrective action.
  • Support asset managers during regulatory examinations, including:
    • Responding to inquiries
    • Maintaining required documentation
    • Preparing for audits and exams
  • Lead the organization through regulatory inquiries and examinations, including cycle exams and targeted reviews.
  • Ensure timely and accurate regulatory filings, including but not limited to:
    • Form ADV
    • Forms 13-F, 13-G, and 13-H
    • Beneficial ownership and other required disclosures
  • Deliver compliance education at live events and internal training sessions, as needed.
  • Assume additional responsibilities and special projects, as required to support organizational priorities.

• Professional Development

  • Pursue ongoing professional development to maintain subject-matter expertise.
  • Maintain all required licenses in good standing.
  • Complete continuing education requirements in accordance with regulatory and professional standards.

Requirements

Minimum Qualifications

• Bachelor's Degree and Juris Doctor (JD) required.
• Minimum of eight (8) years of experience in compliance, risk management, or a related field.
• Active bar admission in at least one U.S. state or jurisdiction, with no disciplinary actions.
• Professional certifications, such as:
  • Certified Securities Compliance Professional (CSCP)
  • Certified Investment Company Compliance Professional (CICCP)
• Strong proficiency in Microsoft Office applications.
• Exceptional organizational and communication skills , with the ability to influence at the executive level.
• High attention to detail and accuracy, paired with consistent follow-through and sound judgment.

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