CooksonPeirce is seeking a knowledgeable and proactive Chief Compliance Officer (CCO) to lead our compliance program. The CCO is responsible for developing, implementing, and enforcing policies and procedures to ensure adherence to SEC, state and federal regulations, cultivating a culture of compliance, and managing regulatory risks. This full-time, in-office, senior-level position requires independent authority to oversee all compliance aspects, including fiduciary obligations, marketing, trading, and data privacy.

• Compliance Program Management: Design, implement, and maintain a comprehensive,
  tailored compliance program (including the Policies and Procedures Manual and Employee
  Manual). Act as the firm's primary authority on securities compliance, maintaining expertlevel knowledge of the Investment Advisers Act of 1940 and all applicable federal/state
  regulations.
• Annual Review: Conduct, document, and report on the mandatory annual review of the
  effectiveness of the firm's compliance policies and procedures.
• Regulatory Filings & Examinations: Execute and submit all regulatory filings, including
  timely updates to Form ADV (Parts 1, 2A, 2B, and CRS), and serve as the primary liaison
  during SEC or state examinations.
• Risk Assessment & Mitigation: Proactively identify, monitor, and mitigate compliance risks
  and conflicts of interest. Oversee cybersecurity protocols (Reg S-P) and data protection.
• Monitoring & Testing: Develop and execute a risk-based compliance monitoring and testing
  program to assess the effectiveness of internal controls. This includes reviewing marketing
  and advertising materials as well as monitoring employee electronic communications,
  personal trading and investment activities to detect and prevent potential violations.
• Training & Culture: Draft, maintain, and distribute clear and comprehensive compliance
  policies, procedures, and a code of ethics. Develop and deliver annual and ad-hoc compliance training to all employees to promote a firm-wide culture of integrity and ethical
  conduct.
• Regulatory Updates: Monitor changes in SEC, state, and industry regulations (including
  AI/AML, where applicable) and adjust compliance programs accordingly.
• Leadership: Directly manage members of Compliance team, including hiring, onboarding,
  training, supervision of daily operations and work direction, and performance evaluations

• Experience: 5+ years of experience in compliance, legal, or risk management within an RIA
  or financial services firm
• Regulatory Knowledge: In-depth understanding of the Investment Advisers Act of 1940, SEC
  rules, and fiduciary standards
• Education: Bachelor's degree in finance, business, or law. A JD, IACCP® designation, or
  other relevant certifications (e.g., CAMS) are a plus
• Communication: Exceptional verbal and written communication skills to articulate complex
  compliance issues to staff and leadership
• Leadership: Strong leadership skills with the ability to influence organizational culture and
  enforce policies
• Technical Proficiency: Experience with CRM systems (Salesforce), portfolio management
  software, and compliance monitoring technologies

CooksonPeirce offers a highly competitive compensation package and benefits program which includes health insurance, vision, paid time off and a 401K plan. We are seeking an individual with a long-term commitment to the same quality, continuity, and excellence we provide to our clients and each other. This is a unique opportunity to join a mature wealth management firm and grow into a leadership role within the firm.