Chief Compliance Officer

Responsibilities

Compliance Program Execution (in partnership with External CCO)

• Act as the primary internal liaison to the external CCO, ensuring effective communication and implementation of compliance initiatives.
• Support the development, maintenance, and execution of the firm’s compliance policies and procedures.
• Assist in administering the Code of Ethics, personal trading monitoring, and employee compliance certifications.
• Coordinate and support regulatory filings (e.g., Form ADV updates, amendments, and state notices).
• Prepare materials and documentation for annual reviews conducted by the external CCO.

Regulatory Coordination & Exams

• Serve as the internal point of contact for regulatory examinations and information requests.
• Coordinate document gathering, responses, and follow-ups with the external CCO and regulators.
• Track and remediate compliance issues identified through exams or internal reviews.
• Review of policies and procedures, Form ADV, client agreements, and compliance history
• Identification of regulatory risks, conflicts, and potential liabilities
• Partner with legal, finance, and deal teams to support transaction execution.
• Coordinate with the external CCO to assess compliance implications of transactions.
• Support post-close integration, including:
• Aligning acquired firms with the existing compliance framework
• Updating disclosures, policies, and regulatory filings
• Assisting with onboarding and training of acquired personnel

Monitoring & Testing

• Execute compliance testing and monitoring activities as directed by the external CCO.
• Review marketing materials, communications, and advisory practices for regulatory compliance.
• Track and elevate compliance risks, conflicts of interest, and policy exceptions.

Training & Internal Support

• Deliver compliance training to employees and newly onboarded teams from acquisitions.
• Serve as a day-to-day resource for employees on compliance-related questions and issues.
• Promote a culture of compliance and accountability across the firm.

Recordkeeping & Reporting

• Maintain required books and records in accordance with SEC and state regulations.
• Prepare internal compliance reports and assist the external CCO with formal reporting.

Qualifications

• Clean U-4 required.
• Series 7, 63, or 65.
• At least two years of experience in investment adviser compliance, securities law, or related legal/regulatory roles.
• Demonstrated experience supporting mergers and acquisitions, including compliance/legal due diligence and post-transaction integration.
• Strong working knowledge of the Investment Advisers Act of 1940, SEC regulations, and fiduciary obligations applicable to RIAs.
• Strong foundation in investment adviser compliance within SEC-registered environments, with the ability to operationalize regulatory requirements into practical policies and procedures.
• Serves as a key internal liaison to external compliance leadership, coordinating filings (incl. Form ADV), annual reviews, and ongoing program execution.
• Experience supporting M&A transactions, leading compliance due diligence and assisting with post-close integration across acquired advisory platforms.
• Handles regulatory exams and inquiries end-to-end, including document coordination, regulator interaction, and remediation tracking.
• Trusted compliance partner with strong interpersonal instincts - advises on day-to-day issues, delivers training, and promotes a firm-wide culture of compliance.
• Experience working with or alongside an external/outsourced Chief Compliance Officer (CCO) preferred.
• Familiarity with Form ADV, regulatory filings, compliance testing, and SEC/state examination processes.
• Prior experience in a law firm, regulatory agency, or in-house legal/compliance role within wealth management or asset management is a plus.
• Strong execution and project management skills
• Ability to translate regulatory guidance into operational processes
• Experience coordinating across internal teams and external advisors
• Detail-oriented with strong organizational abilities
• Effective communicator with the ability to elevate issues appropriately
• Juris Doctor (JD) is preferrable from an accredited law school.
• Active bar membership in good standing strongly preferred; candidates currently practicing law (e.g., in-house or at a law firm) are highly desirable.

Reporting Structure

Reports to Chief Operating Officer (COO) with a dotted-line/functional reporting relationship to the external Chief Compliance Officer (CCO).

Pay range and compensation package

Attractive base salary plus bonuses, including a 401K match, discretionary profit sharing, health care coverage, vision, dental, and life insurance.