Chief Compliance Officer (CCO)

About the role

On behalf of our client - an established, fully independent RIA based in Madison, WI (with a second office in the Detroit, MI metro area) - The Well is conducting a search for a Chief Compliance Officer. This is a critical, high-ownership role for a compliance-experienced professional who thrives in a varied, fast-moving environment and wants to be the operational backbone of a well-run, client-focused wealth management firm. The firm manages approximately $1.2 billion in assets across two collaborative offices and operates as a fully independent RIA with no broker-dealer affiliation. The incoming CCO will own the full compliance function while also managing key operational and financial processes. Ideal candidates will be located in the Madison, WI or Detroit, MI metro area for on-site work, though remote candidates with strong RIA compliance backgrounds may be considered.

Responsibilities

• Own and manage all RIA compliance functions, including SEC regulatory requirements and annual ADV filings
• Coordinate with an outside compliance consultant to track deadlines, monitor regulatory updates, and maintain the firm's compliance calendar
• Manage client billing operations through the Orion platform
• Process firm payroll through Paylocity
• Maintain firm books and financial records through QuickBooks
• Document and maintain compliance workflows, tasks, and procedures within the WealthBox CRM
• Oversee day-to-day operations across both firm offices
• Coordinate with the firm's outside accounting firm as needed on financial matters
• Serve as the primary internal resource for compliance policies, procedures, and SEC examination readiness
• Adapt daily priorities fluidly as compliance deadlines and operational needs shift throughout the year
• Support a culture of proactive compliance awareness across the full organization
• Contribute to the continued growth and operational excellence of a profitable, well-established RIA

Must-Haves

• Meaningful RIA compliance experience - must understand how a registered investment adviser operates and what SEC compliance broadly entails
• Background in a compliance-focused role such as compliance director, compliance officer, or CCO at an RIA or wealth management firm
• Comfort owning a broad compliance function as the primary internal resource, without a large compliance team
• Ability to manage a workload that shifts between compliance and operations depending on the time of year
• Strong organizational skills and a process-oriented mindset
• Intellectual curiosity and the ability to learn new operational and financial systems

Nice-to-Haves

• Experience with Orion billing, Paylocity payroll, QuickBooks, or WealthBox CRM
• Hands-on experience with ADV filings and SEC examination preparation
• Background in operations or financial administration in addition to compliance
• Experience at a smaller or mid-size RIA where compliance responsibilities were broad rather than narrowly siloed
• Comfort working in a two-office, collaborative firm structure

Compensation and Benefits

• Base salary: $150,000 - $250,000, commensurate with experience (base salary only - no revenue-based bonus by design)
• 401(k) with 3% safe harbor match beginning after 90 days
• Medical and dental insurance
• Group life and group disability insurance
• 15 days PTO per year to start; increases to 20 days after 5 years of service
• Paid holidays
• Opportunity for meaningful compensation growth as the role is mastered

Work Environment and Culture

This firm has built a strong, collaborative culture across two offices, united by a