Chief Compliance Officer

Full-time Dallas-Fort Worth, TX (Remote within Texas) Summr Capital Management

About Summr Capital Management Summr Capital Management is a systematic investment manager and RIA operating at the intersection of data-driven strategy and institutional execution. We serve institutional clients across U.S. equities, macro, and alternative assets through proprietary AI-enabled research and portfolio construction. We believe in integrity, innovation, and excellence—delivering measurable results while maintaining the highest ethical standards.

The Role We're seeking an experienced Chief Compliance Officer to lead all regulatory compliance, risk management, and governance for Summr Capital Management. Reporting to the founding team, you'll build and oversee compliance infrastructure, regulatory frameworks, policies and procedures, and controls for a growing systematic investment manager and RIA. This is a partnership-track role with a clear path to equity ownership following a successful 90-day probationary period.

What You'll DoLead compliance operations including policy development, procedure documentation, and compliance monitoring across all firm activities

Manage SEC and FINRA compliance including Form ADV filings, Rule 206(4)-7 compliance reviews, and regulatory examinations

Build and oversee compliance systems including trading surveillance, personal trading oversight, conflicts of interest management, and document retention

Develop and enforce policies covering client communications, advertising, insider trading, and ethical conduct

Manage regulatory relationships including SEC, FINRA, and state regulators—responding to inquiries and maintaining examination readiness

Drive risk management and controls including operational risk, market conduct risk, and cybersecurity compliance

Oversee anti-money laundering (AML) and know-your-client (KYC) programs

Build and mentor a compliance team as the firm scales

Advise senior management and the board on regulatory and compliance matters

Skills & Experience
10+ years of compliance, regulatory, or risk management experience in investment management, hedge funds, or RIA environments

Deep expertise in SEC and FINRA regulations, Form ADV compliance, and RIA governance

Proven track record leading compliance programs and managing regulatory examinations

Strong understanding of investment operations, trading, and fund administration

Excellent documentation and policy development capabilities

Ability to translate complex regulations into operational controls

Bachelor's degree in Finance, Law, Business, or related field (law degree or compliance certification preferred)
Authorized to work in the United States; no visa or FISA sponsorship available

Licensing Requirements The following FINRA and regulatory licenses are required:

State Life & Health LicenseSIE (Securities Industry Essentials)
Series 24 (General Securities Principal)
Series 63 (Uniform Securities Agent State Law Examination)
Series 65 (Uniform Investment Adviser Law Examination)
Series 82 (Private Securities Offerings Representative)
Training & DevelopmentFINRA sponsorship for any required licensing

Direct mentorship from founding team Ongoing professional development opportunities

Access to compliance networks and regulatory resources

Compensation & Benefits Competitive base salary commensurate with experience

Performance-based bonus aligned with firm growth and compliance metrics

Partnership track:
Equity ownership opportunity following successful 90-day probationary period (contingent on performance and cultural fit)
Comprehensive benefits package: health, dental, vision, 401(k), ESPP, disability, life insurance

Transportation reimbursement incentive program (TRIP)
Probationary Period & Partnership Path The first 90…