Strategic Chief Compliance & Risk Leader

Drake & Associates, LLC · Milwaukee, United States

Drake & Associates, LLC seeks an experienced Chief Compliance Officer to lead the firm's compliance program as a hands-on expert and strategic partner. This senior role requires owning daily compliance activities, managing regulatory filings, audits, and risk assessments, and advising leadership on risk and growth opportunities.

The CCO will develop policies, monitor advertising compliance, oversee licensing and disclosures, and deliver training to employees and advisors, partnering across the