Job summary
Job post source
This job is directly from Cassaday & Company, Inc.
Job overview
The Chief Compliance Officer (CCO) at Cassaday & Company oversees the firm's compliance program ensuring adherence to regulatory requirements and supports firm growth through risk mitigation and policy development.
Responsibilities and impact
The CCO manages compliance for SEC-registered investment advisor and Broker-Dealer, oversees regulatory filings, audits, incident reporting, training programs, risk assessments, and acts as the main contact for audits and regulatory exams.
Compensation and benefits
The company offers healthcare options with most premiums paid, 401(k), paid time off, telework options, wellness programs, paid parking or transit subsidy, and tax-free dependent care and education assistance.
Experience and skills
Requires a bachelor's degree in finance or related field, 5-10 years of compliance experience in wealth management, FINRA licenses (Series 7, 66, 24, 51 or ability to obtain), knowledge of regulatory frameworks, proficiency in MS Office and SharePoint, leadership skills, and ability to pass background checks; JD/MBA and Tamarac CRM experience preferred.
Career development
The company is recognized for employee development and offers opportunities to stay ahead in compliance practices and grow within a fast-growing, award-winning firm.
Work environment and culture
Cassaday & Company values employee development, community service, and a supportive work environment with telework options and employee appreciation events.
Company information
Cassaday & Company, founded in 1993, manages over $6 billion in assets for 3,700 households and is recognized nationally for growth and excellence in wealth advisory services.
Job location and travel
The position is based in McLean with telework options available and includes paid parking or public transit subsidy.
Unique job features
The role includes leadership in compliance program management with a focus on scalable infrastructure and proactive policy development to mitigate risk and support firm growth.
Company overview
Cassaday & Company, Inc. is a financial advisory firm that provides comprehensive wealth management services, including investment management, financial planning, and retirement planning. They generate revenue through fees based on assets under management and financial planning services. Founded in 1993 by Stephan Cassaday, the firm has grown significantly, earning recognition for its client-centric approach and strong performance. Notably, Cassaday & Company has received multiple industry awards and accolades, highlighting its commitment to excellence and client satisfaction.
How to land this job
Position your resume to highlight your extensive compliance experience within wealth management, emphasizing your knowledge of SEC, FINRA, and related regulatory frameworks such as the Investment Advisers Act of 1940 and AML/KYC requirements.
Focus on showcasing your leadership and organizational skills, your ability to manage compliance programs, conduct audits, and develop training initiatives that promote a compliant culture across the firm.
Apply through multiple channels including Cassaday & Company’s corporate careers page and LinkedIn to maximize your application’s visibility and reach.
Connect with compliance and risk management professionals at Cassaday & Company on LinkedIn; when reaching out, start with ice breakers like referencing a recent regulatory update or compliance initiative mentioned in their company news or expressing interest in how they maintain compliance in a rapidly evolving regulatory environment.
Optimize your resume for ATS by integrating key terms from the job description such as 'compliance program management,' 'SEC-registered investment advisor,' 'regulatory filings,' 'risk mitigation,' and the specific licenses required like FINRA Series 7, 24, 66, and 51.
Jennie Johnson’s Power Apply feature can automate tailoring your resume for ATS, identify all relevant application portals, and suggest LinkedIn connections to network with, allowing you to focus your time on preparing for interviews and strategic networking.
Jennie Johnson works for you!
Here’s what we do to make sure you’re successful:
Targeted Resume Revamp:
We expertly craft your resume to navigate Applicant Tracking Systems (ATS) and showcase your qualifications, making you stand out as a top-tier candidate.
Job Description Dissection:
Unpack the job posting with expert analysis, ensuring your application hits every key requirement.
Bespoke Cover Letter:
Capture the attention of hiring managers with a personalized cover letter that highlights how your skills align perfectly with the job's needs.
Interview Mastery:
Prepare for interviews like a pro with likely questions, strategic answers, and insightful questions for you to ask, setting you apart as an informed candidate.
Direct Application Insights:
Receive tailored advice on the best places to apply, ensuring your applications are seen by the right employers.
Skills and Gaps Assessment:
Identify and close critical skills gaps to position yourself as the best-fit candidate for your ideal job.
Personalized Email Pitch:
Make a memorable first impression with an email template crafted to engage potential employers and initiate meaningful conversations.
In-depth Research Guide:
Leverage comprehensive research tools to gather effective insights on companies, industry trends, and role-specific challenges.
Detailed Company Analysis:
Gain in-depth understanding of your prospective employer, giving you the edge in applications and interviews.
Strategic Candidate Overview:
Understand your unique value and why companies would want to interview you, highlighting your background and positioning.