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Chief Compliance Officer
2 months ago
Chief Compliance Officer
Location: Century City
About the Company
The Company is a newly registered investment adviser, founded by industry leaders and seasoned practitioners who have built and operated successful single-family offices and wealth management firms serving ultra-high-net-worth clientele. Our boutique tuck-in platform empowers breakaway financial advisers to elevate their practices and expand their client base with the support of a trusted, high-touch service model. Joining our team offers the opportunity to shape our compliance framework, drive strategic initiatives, and be part of an entrepreneurial environment focused on growth.
Position Overview:
We seek an experienced, operationally-minded Chief Compliance Officer (CCO) who will play a pivotal role in shaping the firm’s compliance culture and general operations. The CCO will be responsible for designing, executing, and scaling a best-in-class compliance program as the firm grows. This role reports directly to the CEO and offers significant influence over the company’s strategic direction.
Key Responsibilities:
- Compliance Leadership: Design, lead and execute a best-in-class RIA compliance program, fostering a firmwide culture of ethical practice and regulatory excellence. Develop, implement, and update policies, procedures, training programs, audits, and controls to ensure full adherence to the Investment Advisers Act of 1940 and other applicable laws.
- Operational Oversight: Oversee quality control of client account and custody operations, including account openings/transitions, paperwork processing, money movement, portfolio accounting, order management, etc. Drive operational efficiencies while ensuring robust controls are in place.
Candidate Requirements
- Experience: 7+ years in compliance or regulatory roles within SEC-registered investment advisers, ideally including experience as Chief Compliance Officer at a small or mid-sized RIA. Proven track record as a compliance leader required; additional experience in operational leadership preferred.
- Education: Bachelor’s degree (B.A.) required; law degree and/or relevant compliance certifications (e.g. IACCP) preferred.
- Expertise: Deep understanding of the Investment Advisers Act of 1940, FINRA, state securities laws, and regulatory examination processes. Strong familiarity with RIA technologies, custodial services, account operations, and compliance management systems (e.g. Orion, RIA-in-a-Box, Global Relay).
- Values: High level of integrity, client-first mentality, independent thinking, and a practical, collaborative approach that supports both the compliance team and other business functions.
Employment Particulars:
- Position Type: Full Time (Hybrid)
- Location: Los Angeles
- Benefits: We offer a competitive compensation package, including comprehensive medical, dental, and vision coverage, a 401(k) plan with a 4% match, and opportunities for professional development and career growth. We prioritize work-life balance with hybrid work arrangements and a supportive, collaborative team culture.
