Chief Compliance Officer

Job Responsibilities

• Serve as primary SEC liaison, managing all examinations, inquiries, and regulatory correspondence.
• Own the Form ADV process across all RIA entities and acquired practices.
• Maintain the firm's fiduciary framework across every practice and service line.
• Design and maintain a centralized, scalable WSP framework with a governance calendar tied to regulatory changes and M&A activity.
• Lead selection and optimization of the compliance tech stack covering personal trading, surveillance, archiving, and reporting.
• Build automated surveillance and exception reporting workflows that scale with firm growth.
• Develop a repeatable M&A compliance due diligence playbook and post-close integration framework.
• Recruit and develop a tiered compliance team with a staffing model that balances centralized oversight with practice-level support.
• Build a compliance culture that positions the function as a business enabler.
• Conduct annual firm-wide risk assessments by practice, service line, and regulatory exposure.
• Oversee portfolio surveillance for suitability, fee billing accuracy, and best execution across custodians.
• Manage conflicts of interest disclosures and mitigation across compensation structures and affiliated relationships.
• Maintain a vendor due diligence program covering all material third-party relationships.
• Deliver regular compliance reporting to firm leadership including risk dashboards, exam updates, and incident logs.
• Design and deliver role-based annual compliance training with attestation across all practices.
• Partner with M&A, finance, HR, and technology to embed compliance early in all growth initiatives.
• Position the firm's compliance infrastructure as a competitive advantage in advisor recruiting and acquisitions.

Qualifications

• 10+ years of compliance experience, with meaningful time at an SEC-registered RIA or in an RIA-focused regulatory/consulting role
• Experience interfacing directly with the SEC, whether through routine examinations, deficiency responses, or ongoing regulatory dialogue.
• Strong working knowledge of Form ADV preparation, including multi-entity filings and material change amendments triggered by acquisitions.
• Demonstrated experience building or significantly scaling a compliance function within a fast-growing and/or multi-practice RIA environment, including hands-on experience with M&A compliance integration, including due diligence and post-close onboarding of acquired practices.
• Proficiency with compliance technology platforms and a track record of leading systems implementations.
• Excellent leadership and a builder mentality – comfortable with ambiguity, able to create structure where little exists previously, and energized by a fast-moving environment.
• JD, MBA, or equivalent advanced degree preferred but not required.
• IACCP designation strongly preferred.
• Series 65 or equivalent required

Compensation

• Highly competitive compensation consisting of base salary, an annual performance bonus, and equity ownership.