Chief Compliance Officer | Part Time | Remote

Position Overview

We are seeking a Chief Compliance Officer with 10+ years of experience to support compliance, regulatory and operational activities in a flexible part time capacity (20 hours per week). This role focuses on RIA compliance support, regulatory filings, operational coordination and administrative governance while ensuring accuracy, efficiency and adherence to regulatory standards. 

The ideal candidate will have experience supporting compliance functions within financial services, investment advisory or regulated environments, along with strong organizational and operational management capabilities. 

Key Responsibilities & Deliverables 

Support RIA compliance activities and ongoing regulatory requirements 

Assist with Form ADV preparation, updates, and maintenance 

Provide support for CCO related responsibilities and compliance processes 

Manage SMA and options-related disclosures and documentation 

Coordinate state registrations, filings, and examination preparation activities 

Maintain compliance calendars, trackers, and reporting documentation 

Handle entity filings, annual reports, and corporate compliance tracking 

Coordinate with registered agents and manage state employer registrations 

Support operational and administrative functions across the organization 

Collaborate with leadership on internal compliance-related projects and initiatives 

Contribute to internal consulting work related to compliance software initiatives, based on availability and interest 

Core Qualifications and Competencies 

10+ years of experience in compliance, operations or regulatory support roles within financial services or investment advisory environments 

Strong understanding of RIA compliance and regulatory documentation processes 

Familiarity with Form ADV filings, state registrations, and compliance tracking 

Excellent organizational, documentation and follow-up skills 

Strong attention to detail and ability to manage multiple priorities independently 

Effective communication and stakeholder coordination abilities 

Ability to work flexibly in a remote, part-time setup 

Nice-to-Have Skills 

Exposure to SEC or investment advisory compliance environments 

Experience supporting CCO functions or regulatory examinations 

Familiarity with compliance management or governance software tools 

Interest in compliance technology or internal consulting initiatives 

Why This Opportunity 

Flexible part time remote role within a global team

Exposure to both operational and regulatory responsibilities 

Collaborative and growth oriented work environment