Investment Adviser Representative & Chief Compliance Officer
Lead advisor and CCO for Lyceum Financial Group, the fee-only RIA affiliated with Cerullo LLC. You take over an established book of client households and run the firm's compliance program, working side by side with the Cerullo CPAs.
- Department
- Wealth Management
- Location
- Elmsford, NY
- Compensation
- $120,000 – $150,000 per year · Independent contractor. Estimated annual earnings: a share of advisory fees on the households you serve, plus a CCO stipend and a higher share on new assets.
About the role
Lyceum Financial Group, LLC is an SEC-registered, fee-only investment adviser that shares an office and clients with Cerullo LLC, a Westchester CPA firm. Our clients get tax-aware wealth management, with their accountant and their advisor in the same building. We're looking for an experienced independent IAR to become advisor of record for our existing households and to serve as the firm's Chief Compliance Officer. This is an independent-contractor role, and you will be registered as an IAR of Lyceum Financial Group.
What you'll do
- Serve as advisor of record for an established book of individual and family households custodied at Charles Schwab
- Build and manage portfolios: allocation, rebalancing, tax-loss harvesting, and cash and distribution planning
- Work with Cerullo's CPAs on tax-aware investing, Roth conversions, RMDs, and year-end planning
- Run annual and as-needed client reviews, and join the proposal meeting for new households introduced by the firm's senior partner
- Keep client records and communications in the Lyceum client portal
- As CCO, own the written compliance program and the annual Rule 206(4)-7 review
- As CCO, keep Form ADV Parts 1, 2A, and 2B current, including the annual amendment and state notice filings (NY, CT, NJ, FL, GA)
- As CCO, administer the code of ethics, personal-trading reports, and books and records under Rule 204-2
- As CCO, review all advertising and website content under the Marketing Rule, 206(4)-1
- As CCO, act as the firm's point of contact for SEC and state examinations
What we're looking for
- Series 65, or Series 66 together with Series 7, or a designation that waives the exam (CFP®, CFA, ChFC, PFS, or CIC)
- Eligible to register as an IAR in New York, and in the other states where the firm has clients
- A clean regulatory record: no IAPD/BrokerCheck disclosures that would bar registration, plus a background check and fingerprinting
- 5+ years as an IAR or lead advisor serving individual households
- Hands-on RIA compliance experience: ADV filings, code of ethics, and annual compliance reviews
- Committed to a fee-only fiduciary model. Any commission-based broker-dealer or insurance business must end, or be disclosed and approved as an outside business activity
- Experience with Schwab Advisor Services, or another major RIA custodian
Nice to have
- CFP® or CFA charter
- CPA/PFS, or a strong background in tax-aware planning
- A compliance credential such as IACCP or NRS CCO certification
- Experience with households holding $500k–$3M in investable assets
- Based in or near Westchester County
Apply for this role
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Cerullo LLC is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other characteristic protected by law.