Chief Compliance Officer - SEC | Part Time | Remote

Position Overview

We are seeking an experienced Chief Compliance Officer (CCO) to oversee and manage the compliance program of a growing SEC-registered investment advisory firm. This role requires a senior compliance professional with deep expertise in SEC regulations, RIA compliance, regulatory filings, examinations, and risk management.

The CCO will serve as the primary compliance advisor to leadership, ensuring adherence to all applicable regulatory requirements while supporting the firm's operational and strategic objectives.

Key Responsibilities

• Serve as the designated Chief Compliance Officer for the SEC-registered RIA.

• Oversee and maintain the firm's compliance program in accordance with the Investment Advisers Act of 1940.

• Manage Form ADV filings, updates, and regulatory disclosures.

• Conduct annual compliance reviews, risk assessments, and compliance testing.

• Lead preparation for SEC examinations, audits, and regulatory inquiries.

• Monitor regulatory developments and implement necessary policy and procedural updates.

• Oversee compliance related to SMA accounts, options disclosures, Code of Ethics, and marketing regulations.

• Maintain compliance records, regulatory calendars, and reporting requirements.

• Coordinate with external legal counsel, regulators, and compliance service providers.

• Provide strategic compliance guidance to leadership and support operational initiatives.

Qualifications

• 10+ years of SEC/RIA compliance experience.

• Prior experience serving as a CCO or senior compliance leader within an SEC-registered investment adviser.

• Strong knowledge of the Investment Advisers Act, Form ADV, SEC examinations, and regulatory reporting requirements.

• Experience managing compliance programs, risk assessments, and regulatory audits.

• Excellent analytical, organizational, and communication skills.

• Ability to work independently and provide executive-level compliance oversight.

Preferred Qualifications

• Experience with multi-state registrations, SMA programs, and options strategies.

• Background in compliance consulting or regulatory advisory services.

• Familiarity with compliance technology platforms and automation tools.

• Relevant industry certifications are a plus.

What We're Looking For

A seasoned compliance professional who can provide hands-on regulatory oversight, strategic guidance, and leadership while ensuring the firm maintains the highest standards of regulatory compliance and operational excellence.