Chief Compliance Officer (CCO)

About the role

Drake & Associates is seeking an experienced Chief Compliance Officer (CCO) to lead and manage the firm’s compliance program. As the primary compliance professional and a member of the Leadership Team, the CCO will act as both a hands‑on compliance expert and a strategic business partner.

Key responsibilities

• Own and manage the firm’s compliance program, maintaining policies, procedures, controls, and required regulatory records.
• Develop and execute compliance testing, monitoring, annual reviews, internal audits, and ongoing risk assessments.
• Identify compliance gaps, implement corrective actions, and track remediation.
• Manage SEC and other regulatory filings and lead preparation for examinations, inquiries, and audits.
• Review and approve advertising and marketing materials for SEC compliance.
• Oversee employee compliance, including licensing, Code of Ethics, personal securities trading, disclosures, conflicts of interest, and outside business activities.
• Monitor regulatory developments and update firm policies and practices accordingly.
• Develop and deliver compliance training and serve as the primary compliance resource for employees and advisors.
• Advise the Leadership Team on regulatory risk, business initiatives, operational changes, technology, and growth.

Required profile

• Bachelor’s degree in Business, Finance, Accounting, Legal Studies, Political Science, or a related field.
• 7+ years of progressive compliance, supervision, or regulatory experience within financial services.
• Significant experience working within or supporting a Registered Investment Adviser (RIA).
• Strong knowledge of SEC regulations applicable to investment advisers.
• Hands‑on experience with compliance testing, monitoring, audits, risk assessments, regulatory filings, examinations, and policy development.
• Experience with advertising and marketing compliance, Code of Ethics administration, personal securities transactions, and employee disclosures.
• Strong judgment, ability to interpret complex regulatory requirements, and translate them into practical business solutions.
• Excellent communication and relationship‑management skills, with confidence to advise senior leadership.