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 RIA
- Oversee ongoing monitoring, testing, and surveillance activities
- Support regulatory filings, including Form ADV updates and amendments
- Manage and execute the compliance calendar
- Provide real-time compliance advisory support to leadership and advisers
- Identify and mitigate any transition-related risk gaps
Medium-term responsibilities
- Enhance policies, procedures, and compliance documentation
- Strengthen testing and monitoring programmes
- Support regulatory examinations and audits
- Improve automation and scalability of compliance processes
- Partner with legal, operations, and investment teams to embed compliance best practice
Candidate Profile
Required
- 5–10+ years of SEC RIA compliance experience
- Experience operating in a senior compliance role (Head, Deputy Head, or Senior Manager)
- Strong working knowledge of:
- Investment Advisers Act
- Form ADV and regulatory filings
- Code of Ethics
- SEC Marketing Rule
- Custody Rule
- Books and records requirements
- Experience supporting or managing regulatory examinations
- Ability to operate effectively in a fast-growth environment
- Pragmatic, hands-on approach to compliance
Preferred
- Experience in international wealth or cross-border firms
- Relevant licences or credentials (e.g., Series 65/7)
- Experience building or enhancing compliance infrastructure
Success Measures (First 90 Days)
- Seamless continuity of regulatory oversight
- Compliance calendar stabilised and executed
- Key risk areas identified and addressed
- Clear roadmap developed for process improvement and scalability
- Strong working relationship established with the Chief Compliance Officer and leadership team