Wealth Management Recruiting
Your CCO leads the compliance program that protects your firm from regulatory risk. We recruit CCOs who build effective compliance programs that satisfy regulators and support business growth.
SEC/FINRA
Examination Experience
RIA
Compliance Leadership
60 Days
To Qualified Shortlist
Every day a Chief Compliance Officer – Wealth position stays open, your organization loses ground.
Wealth management CCO quality directly determines SEC/FINRA examination outcomes
CCOs must manage investment suitability, advertising compliance, code of ethics, and cybersecurity
Finding CCOs with both regulatory depth and business-enabling approach is extremely challenging
We recruit wealth management CCOs with SEC examination experience, RIA compliance expertise, and the leadership presence to serve as compliance leaders at the executive and board level.
Our fees are significantly lower than traditional staffing firms, and our focus is immediate — no drawn-out timelines, no inflated markups, no revolving door of candidates. You get a dedicated recruiting partner laser-focused on filling your role with the right person, fast.
Every candidate undergoes credential verification, behavioral interviews, background checks, and reference validation before you see a single résumé.
One point of contact who learns your organization, culture, and requirements — no hand-offs, no wasted time.
Our process delivers a qualified shortlist fast — without sacrificing the due diligence that protects your hire.
A proven, four-step process designed for speed and precision.
We learn your organization, culture, and exactly what this hire needs to look like — technically and culturally.
Our recruiters activate confidential networks, referral channels, and specialty pipelines to build your candidate pool.
Candidates are screened through structured interviews, credential checks, and reference calls. Only the best reach your desk.
We support offer negotiations, start-date logistics, and onboarding coordination to ensure a smooth transition.
Request a complimentary search proposal. We'll outline our approach, timeline, and investment — no obligation.
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Founded by Sophia Pettey, JD, LL.M., MBA
