A rapidly growing and mission-driven retirement planning firm is seeking an experienced and personable Chief Compliance Officer (CCO) to oversee its regulatory compliance function. Reporting directly to ownership, this key leadership role will manage all internal compliance processes, oversee communication monitoring and regulatory filings, and collaborate with external compliance consultants to ensure full alignment with SEC regulations. The ideal candidate is a collaborative, emotionally intelligent professional who combines deep technical compliance knowledge with a team-first, solutions-oriented mindset.

Salary Range: $150,000 – $200,000 / year DOE

Chief Compliance Officer Responsibilities:

• Serve as the primary in-house compliance authority for an SEC-registered RIA
• Monitor and approve all marketing materials for regulatory adherence
• Oversee trade surveillance, execution compliance, and employee trading practices
• Partner with outsourced consultants for guidance and support
• Monitor internal and external advisor communications to ensure regulatory compliance
• Stay current on SEC and FINRA regulations, interpret applicability, and implement updates
• Lead preparation for and response to regulatory audits and examinations
• Manage required regulatory filings and documentation
• Supervise one direct report responsible for trade execution and assist with team oversight
• Work directly with company founders to align compliance practices with operational goals

Chief Compliance Officer Requirements:

• 10–15+ years of RIA compliance experience
• Deep understanding of SEC regulations governing RIAs
• Demonstrated ability to manage compliance processes in a fast-paced, growing firm
• Exceptional communication and interpersonal skills; must be approachable and collaborative
• Strong organizational skills and attention to detail
• Series 65 or Series 7 license is preferred
• Bachelor’s degree is a plus
• Familiarity with platforms like Orion, Schwab/Fidelity Institutional, and Morningstar
• Experience overseeing compliance in a firm offering holistic retirement planning services is preferred

Benefits:

• Competitive base salary
• Performance based bonus
• Flexible PTO
• 8 paid holidays
• 401(k) with company match
• Comprehensive health insurance

If you’re seeking a seat at the leadership table in a purpose-driven, high-growth firm, this is your opportunity. Apply now!

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