Chief Compliance Officer

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. We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to HR@insightglobal.com.

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https://insightglobal.com/workforce-privacy-policy/. Skills and Requirements 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
• 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