Chief Compliance Officer

Not Ready Important Notice About the Application Process This position offers use of our AI screening tool as part of the initial candidate review. While completing the AI screening is optional, please note: Candidates who complete the AI screening are reviewed first—daily. We strongly encourage you to complete it promptly to ensure early consideration (first come, first served). Expect to receive a prompt from our AI screener shortly after applying. The AI screener helps us streamline the Candidate intake process, but rest assured— you'll still work directly with a Masis recruiter throughout the rest of your hiring journey. 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. Chief Compliance Officer Responsibilities 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. Chief Compliance Officer Requirements 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. Chief Compliance Officer Compensation $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. Masis Staffing is committed to providing a workplace free of discrimination, harassment, and retaliation. We are an equal opportunity employer. Applicants, employees, and former employees are protected from employment discrimination based on race, color, religion, sex (including pregnancy, sexual orientation or transgender status), national origin, age (40 or older), veteran status, disability and genetic information (including family medical history).

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