Chief Compliance Officer
A growing financial services and alternative investments platform is seeking a Chief Compliance Officer to lead and enhance the compliance framework across both a registered investment adviser and broker-dealer. This is a highly visible leadership role with broad responsibility for regulatory oversight, compliance strategy, and partnership with executive leadership as the business continues to scale. This role will be 100% remote
Key Responsibilities
- Serve as the senior compliance leader and primary contact for regulatory matters and examinations.
- Oversee and continuously improve the firm's compliance program, including policies, testing, surveillance, risk assessments, and regulatory filings.
- Lead compliance oversight for marketing, communications, AML/KYC, Code of Ethics, and employee compliance programs.
- Provide regulatory guidance on new products, business initiatives, technology implementations, and operational changes.
- Manage SEC, FINRA, and state regulatory examinations, audits, and inquiries.
- Partner with legal, operations, technology, and business teams to strengthen controls and automate compliance processes.
- Help shape a scalable compliance infrastructure that supports future growth.
Desired Background
- Bachelors Degree required, JD strongly preferred
- 10+ years of compliance experience
- Strong knowledge of SEC and FINRA regulations
- Experience with private funds, alternative investments, Regulation D offerings, and investor onboarding processes is highly preferred.
- Proven ability to build, lead, and scale compliance programs in a dynamic environment.
- Strong communication skills and experience interfacing directly with regulators and senior leadership
- Series 7 and Series 24
Ideal Candidate
This opportunity is well suited for a strategic and hands-on compliance executive who enjoys operating in a growth-oriented environment, partnering with leadership, and leveraging technology to modernize compliance operations while maintaining a strong regulatory culture. If this sounds like you, apply today!
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