Top 2 Compliance Officers Jobs in Fond Du Lac, WI

Compliance Consultant – Outsourced CCO (Remote)
Orion Placement —United States
- $75,000 - $85,000 a year
- Full-time
- Remote
- Management
- 3 years
- Finance
- Dental insurance
- Paid time off
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Deputy Chief Compliance Officer
Kaztronix —United States
- 11+ years
- Office
- Bachelor's degree
Quick Apply

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Compliance Consultant – Outsourced CCO (Remote)
Orion Placement —United States
Bachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications a plus. Monitor SEC, FINRA, and state regulatory developments and…
$75,000 - $85,000 a year
Quick Apply
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Leverage knowledge of industry guidance, laws, codes and best practices to direct the design, implementation, and evolution of a comprehensive US Compliance…
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Compliance Consultant – Outsourced CCO (Remote)

Orion Placement -
United States

Quick Apply

Job Details

Full-time
$75,000 - $85,000 a year

Benefits

Dental insurance
Paid time off
Vision insurance
Retirement plan

Qualifications

Investment firm experience
Teamwork
Customer relationship building
Management
Team supervision
Professional ethics
Coaching
Training material drafting
Client services experience within consulting industry
Team development
Securities law compliance support
Professional development support
Bachelor's degree
Attention to detail
Compliance documentation
Risk management
Mentoring
Organizational skills
Securities law
Experience at securities companies

Full Job Description

Why This Is a Great Opportunity

Be the trusted compliance authority for a growing portfolio of fintech clients, with real ownership of their programs
Work at the forefront of fintech regulatory innovation, advising disruptive companies that are reshaping financial services
Enjoy a fully remote role with genuine flexibility, backed by a sharp, collaborative, and mission-driven team
Dive into exciting fintech verticals including digital assets, robo-advisers, neobanking, and beyond
Earn performance bonuses tied to client and firm success
Grow professionally with dedicated firm support for licensing, certifications, and continuing education
Make a direct impact — your work protects innovative companies and helps them launch, scale, and thrive

Location: This is a fully remote opportunity — work from anywhere in the U.S. that suits your life. The team operates on Eastern Time (9:00 AM to 5:00 PM ET), and exceptional candidates based on the West Coast (Pacific Time) are encouraged to apply.

Note: This role requires direct, hands-on RIA compliance experience — specifically, having served as or directly supported a Chief Compliance Officer at a Registered Investment Adviser. Candidates without this background will not be considered.

About Us

We are a leading regulatory compliance and operations consulting firm serving financial services companies and fintechs since 2013. Our team of licensed compliance experts helps clients navigate complex regulatory environments, launch innovative products, and scale with confidence. We serve broker-dealers, RIAs, digital lenders, robo-advisers, crowdfunding platforms, and more — providing outsourced compliance leadership that executives, boards, and regulators trust. Many of our clients outsource their entire compliance function to us, and that trust is something we take seriously. Confidential Employer.

Job Description

Own and manage full compliance programs for a portfolio of RIA clients as their outsourced Chief Compliance Officer
Lead client engagements from strategy through execution, serving as the primary compliance advisor and trusted point of contact for executives and boards
Mentor and coach junior consultants, reviewing their work and actively supporting their professional development
Represent the firm in high-stakes meetings with C-suite leaders, boards, and regulators
Design and continuously enhance tailored compliance programs aligned to SEC and state regulatory requirements
Draft, update, and maintain compliance policies, procedures, manuals, and training materials that are clear, practical, and audit-ready
Conduct compliance risk assessments, mock examinations, and annual reviews — including SEC Rule 206(4)-7 reviews
Monitor SEC, FINRA, and state regulatory developments and proactively communicate their impact to clients
Prepare and oversee regulatory filings including Forms ADV, U4, and other required documentation
Guide clients through regulatory examinations and any remediation efforts
Advise on both day-to-day compliance questions and long-term strategic regulatory matters
Leverage AI-enabled consulting workflows to deliver scalable, tech-forward compliance solutions

Qualifications

Required:

3+ years of compliance experience in financial services with direct RIA compliance experience
Experience serving as or directly supporting a Chief Compliance Officer at a Registered Investment Adviser
Strong command of the Investment Advisers Act of 1940, Form ADV, the Marketing Rule, and Code of Ethics requirements
Proven track record designing and managing compliance programs end to end
Skilled at drafting compliance policies, procedures, and manuals
Experience leading client relationships and managing complex engagements
Ability to mentor and develop junior team members
Familiarity with fintech business models and the regulatory landscape for emerging financial services
Exceptional communication and presentation skills, including presenting to executives and regulators
Bachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications a plus
Self-starter who thrives independently in a fast-paced, fully remote consulting environment

Nice to Have:

FINRA Series 7 and Series 24 licenses
Broker-dealer compliance experience including FINRA rules, supervision, and suitability
Background in fintech subsectors such as digital assets, payment processing, lending, or neobanking
Familiarity with compliance technology platforms for KYC/KYB and transaction monitoring
Prior consulting or professional services experience

Why You Will Love Working Here

Our team is sharp, collaborative, and genuinely passionate about compliance done right — you will be challenged and supported in equal measure
No two days look the same — every client engagement is unique, and the fintech landscape keeps your work constantly evolving
We invest in our people through licensing support, certifications, and ongoing professional development
As a senior consultant, your voice matters — you will shape how we work, how we advise clients, and how we develop the next generation of compliance talent
We have built a culture of trust, excellence, and genuine care — for our clients and for each other

JPC-1179

Pay: $75,000.00 - $85,000.00 per year

Benefits:

Dental insurance
Paid time off
Retirement plan
Vision insurance

Application Question(s):

Are you comfortable working fully remotely and operating primarily on Eastern Time (9:00 AM to 5:00 PM ET)?
Briefly explain which role on your resume best aligns with this position and why. If you have any resume gaps, please briefly explain.
In what city/state do you currently reside?
What base salary range would you need to make a move? Pls keep it aligned with your directly relevant experience, as candidates seeking compensation above their experience level may not be considered.
Y/N: Have you served as, or directly supported, a CCO at a Registered Investment Adviser?

Experience:

RIA compliance and investment adviser: 3 years (Required)

Work Location: Remote

Quick Apply

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Compliance Officers jobs in Fond du Lac, WI

Compliance Consultant – Outsourced CCO (Remote)

Deputy Chief Compliance Officer

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