RIA Compliance Officer

We are a growing SEC-registered investment advisory firm committed to delivering exceptional service to our clients while maintaining the highest standards of regulatory integrity. As we expand, we’re seeking a seasoned compliance professional to lead our regulatory efforts and help shape the future of our compliance program.

You will serve as our firm's Chief Compliance Officer, overseeing all aspects of our regulatory obligations and fostering a culture where compliance is embedded in everything we do. This is not a box‑checking position. We need someone who can think strategically, anticipate regulatory developments, and build systems that scale with our growth. This is a full‑time, in‑office position. We believe compliance is most effective when you’re embedded with the team, building relationships, and available for real‑time guidance.

• Own our compliance program end‑to‑end, including annual reviews, policy development, and regulatory filings.
• Conduct surveillance and testing to identify risks before they become problems.
• Serve as our primary contact with the SEC and state regulators during examinations and inquiries.
• Train and advise our investment and client service teams on regulatory requirements, working closely with them rather than in opposition.
• Monitor regulatory changes and assess their impact on our business.
• Oversee our books and records, advertising review, and code of ethics.
• Manage compliance obligations for our private fund offerings, including adherence to the new Private Fund Adviser Rules, fund marketing materials, and investor communications.
• Coordinate with legal counsel and fund administrators on PPMs, subscription documents, and regulatory filings such as Form PF and Form
  
  D.

• 7+ years of compliance experience at an SEC‑registered investment adviser, with at least 3 years in a leadership or senior compliance role.
• Direct experience leading SEC regulatory examinations from start to finish.
• Demonstrated experience with private fund compliance, including familiarity with Regulation D, Form PF, Form ADV Part 1A Schedule D, and the marketing rule as applied to private fund performance advertising.
• Deep knowledge of the Investment Advisers Act of 1940, SEC rules, and fiduciary obligations.
• Experience developing and implementing written compliance policies and procedures.
• Strong understanding of custody rule requirements, including those specific to private funds.
• Proficiency with compliance technology platforms and trade surveillance systems.
• Excellent written and verbal communication skills, with the ability to translate complex regulatory concepts for non‑compliance colleagues.
• Sound judgment and the ability to make decisions in ambiguous situations.
• Bachelor’s degree required.

• JD or relevant compliance certifications such as IACCP or CSCP.
• Experience with investment adviser M&A and regulatory integration.
• Familiarity with state registration requirements and blue sky laws.
• Prior experience at a regulatory agency or in public accounting.

• Competitive base salary plus bonus.
• Equity participation for exceptional candidates.
• Comprehensive health, dental, and vision coverage.
• 401(k) with employer match.
• Seat at the leadership table where your voice matters.

Send your resume and a brief note explaining why you’re the right fit for a firm at our stage of growth.