Chief Compliance Officer

Chief Compliance Officer

Chief Compliance Officer
Multi-Billion AUM RIA
July 11, 2022
Boston, MA



Multi-Billion AUM RIA seeks a Chief Compliance Officer to provide executive leadership and strategy over compliance, risk management, control & operations.

The CCO will oversee regulatory compliance and play a key role in the diligence and integration of all acquired businesses for a firm that has been growing extensively through acquisitions.


  • Oversee all compliance, regulatory interaction and audit functions for a fast growing, multi-billion AUM RIA.
  • Develop and implement an overall strategic vision for the compliance functional areas in an entrepreneurial, growth minded culture.
  • Proactively collaborate with Sales, Legal, Marketing, Operations, and other departments to ensure compliance issues are resolved.
  • Manage the compliance review of all marketing materials produced by the firm.
  • Competitive base compensation, profit and performance driven bonuses and excellent benefits.

Requires 5+ years’ RIA compliance or Law Firm SEC compliance experience 

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