Job Summary
We are seeking a dynamic and highly skilled Chief Compliance Officer (CCO) to lead our legal and compliance functions. This pivotal role involves providing expert legal guidance across a broad spectrum of legal areas, ensuring adherence to regulatory standards, and safeguarding the organization’s integrity. The ideal candidate will be proactive, detail-oriented, and possess a comprehensive understanding of diverse legal disciplines, including estate planning, environmental law, securities law, litigation, and more. As a strategic partner to executive leadership, you will shape policies, oversee legal risk management, and foster a culture of compliance and ethical excellence.
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.
M&A Due Diligence & Integration
- Lead compliance due diligence efforts for prospective acquisitions, including:
- 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 escalate 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.
- High Social Intelligence skills.Key Skills & Competencies
- 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 escalate 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.
Pay: $200,000.00 - $375,000.00 per year
Benefits:
- 401(k) matching
- Dental insurance
- Health insurance
- Life insurance
- Vision insurance
Work Location: In person
