Chief Compliance Officer
Looking for an in house Chief Compliance Officer vs the outsourced model we currently have. We are growing and plan to take on more advisors. Currently state registered RIA, but will likely be going to SEC registration in near future. Would be helpful to be local to the Tampa Bay Area, but would be okay with anyone in FL. Need to have a background supporting an RIA in a compliance capacity.
Looking for an in house Chief Compliance Officer vs the outsourced model we currently have. We are growing and plan to take on more advisors. Currently state registered RIA, but will likely be going to SEC registration in near future. Would be helpful to be local to the Tampa Bay Area, but would be okay with anyone in FL. Need to have a background supporting an RIA in a compliance capacity.