Chief Compliance Officer (US)
Chief Compliance Officer — SEC Registered Investment Adviser (RIA)
Location: USA (Remote)
Reporting to: Chief Compliance Officer - Global
Overview
We are an SEC-regulated wealth and investment business seeking an experienced Head of Compliance to support and strengthen our US compliance function. This role will play a key part in maintaining robust regulatory oversight while contributing to the continued development and scalability of our compliance framework.
The successful candidate will operate within an established infrastructure, partnering closely with the Chief Compliance Officer and senior leadership to ensure regulatory integrity, effective risk management, and operational efficiency.
Key Responsibilities
Immediate priorities
Maintain SEC regulatory compliance across the RIAOversee ongoing monitoring, testing, and surveillance activitiesSupport regulatory filings, including Form ADV updates and amendmentsManage and execute the compliance calendarProvide real-time compliance advisory support to leadership and advisersIdentify and mitigate any transition-related risk gaps
Medium-term responsibilities
Enhance policies, procedures, and compliance documentationStrengthen testing and monitoring programmesSupport regulatory examinations and auditsImprove automation and scalability of compliance processesPartner with legal, operations, and investment teams to embed compliance best practice
Candidate Profile
Required
5–10+ years of SEC RIA compliance experienceExperience operating in a senior compliance role (Head, Deputy Head, or Senior Manager)Strong working knowledge of:Investment Advisers ActForm ADV and regulatory filingsCode of EthicsSEC Marketing RuleCustody RuleBooks and records requirementsExperience supporting or managing regulatory examinationsAbility to operate effectively in a fast-growth environmentPragmatic, hands-on approach to compliance
Preferred
Experience in international wealth or cross-border firmsRelevant licences or credentials (e.g., Series 65/7)Experience building or enhancing compliance infrastructure
Success Measures (First 90 Days)
Seamless continuity of regulatory oversightCompliance calendar stabilised and executedKey risk areas identified and addressedClear roadmap developed for process improvement and scalabilityStrong working relationship established with the Chief Compliance Officer and leadership team
Apply Now
Location: USA (Remote)
Reporting to: Chief Compliance Officer - Global
Overview
We are an SEC-regulated wealth and investment business seeking an experienced Head of Compliance to support and strengthen our US compliance function. This role will play a key part in maintaining robust regulatory oversight while contributing to the continued development and scalability of our compliance framework.
The successful candidate will operate within an established infrastructure, partnering closely with the Chief Compliance Officer and senior leadership to ensure regulatory integrity, effective risk management, and operational efficiency.
Key Responsibilities
Immediate priorities
Maintain SEC regulatory compliance across the RIAOversee ongoing monitoring, testing, and surveillance activitiesSupport regulatory filings, including Form ADV updates and amendmentsManage and execute the compliance calendarProvide real-time compliance advisory support to leadership and advisersIdentify and mitigate any transition-related risk gaps
Medium-term responsibilities
Enhance policies, procedures, and compliance documentationStrengthen testing and monitoring programmesSupport regulatory examinations and auditsImprove automation and scalability of compliance processesPartner with legal, operations, and investment teams to embed compliance best practice
Candidate Profile
Required
5–10+ years of SEC RIA compliance experienceExperience operating in a senior compliance role (Head, Deputy Head, or Senior Manager)Strong working knowledge of:Investment Advisers ActForm ADV and regulatory filingsCode of EthicsSEC Marketing RuleCustody RuleBooks and records requirementsExperience supporting or managing regulatory examinationsAbility to operate effectively in a fast-growth environmentPragmatic, hands-on approach to compliance
Preferred
Experience in international wealth or cross-border firmsRelevant licences or credentials (e.g., Series 65/7)Experience building or enhancing compliance infrastructure
Success Measures (First 90 Days)
Seamless continuity of regulatory oversightCompliance calendar stabilised and executedKey risk areas identified and addressedClear roadmap developed for process improvement and scalabilityStrong working relationship established with the Chief Compliance Officer and leadership team
Apply Now