Chief Compliance Officer
Location
United States
Posted
7 days ago
Salary
Not specified
Job Description
Role Description
This role involves supporting and strengthening the US compliance function for an SEC-regulated wealth and investment business.
- Maintain SEC regulatory compliance across the RIA
- Oversee ongoing monitoring, testing, and surveillance activities
- Support regulatory filings, including Form ADV updates and amendments
- Manage and execute the compliance calendar
- Provide real-time compliance advisory support to leadership and advisers
- Identify and mitigate any transition-related risk gaps
- Enhance policies, procedures, and compliance documentation
- Strengthen testing and monitoring programmes
- Support regulatory examinations and audits
- Improve automation and scalability of compliance processes
- Partner with legal, operations, and investment teams to embed compliance best practice
Qualifications
- 5–10+ years of SEC RIA compliance experience
- Experience operating in a senior compliance role (Head, Deputy Head, or Senior Manager)
-
Strong working knowledge of:
- Investment Advisers Act
- Form ADV and regulatory filings
- Code of Ethics
- SEC Marketing Rule
- Custody Rule
- Books and records requirements
- Experience supporting or managing regulatory examinations
- Ability to operate effectively in a fast-growth environment
- Pragmatic, hands-on approach to compliance
Requirements
- Experience in international wealth or cross-border firms
- Relevant licences or credentials (e.g., Series 65/7)
- Experience building or enhancing compliance infrastructure
Success Measures (First 90 Days)
- Seamless continuity of regulatory oversight
- Compliance calendar stabilised and executed
- Key risk areas identified and addressed
- Clear roadmap developed for process improvement and scalability
- Strong working relationship established with the Chief Compliance Officer and leadership team
Job Requirements
- 5–10+ years of SEC RIA compliance experience
- Experience operating in a senior compliance role (Head, Deputy Head, or Senior Manager)
- Strong working knowledge of: Investment Advisers Act Form ADV and regulatory filings Code of Ethics SEC Marketing Rule Custody Rule Books and records requirements
- Investment Advisers Act
- Form ADV and regulatory filings
- Code of Ethics
- SEC Marketing Rule
- Custody Rule
- Books and records requirements
- Experience supporting or managing regulatory examinations
- Ability to operate effectively in a fast-growth environment
- Pragmatic, hands-on approach to compliance
- Experience in international wealth or cross-border firms
- Relevant licences or credentials (e.g., Series 65/7)
- Experience building or enhancing compliance infrastructure
- Success Measures (First 90 Days)
- Seamless continuity of regulatory oversight
- Compliance calendar stabilised and executed
- Key risk areas identified and addressed
- Clear roadmap developed for process improvement and scalability
- Strong working relationship established with the Chief Compliance Officer and leadership team
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