State Licensed Chief Compliance Officer

Job Summary

Seeking a strategic and experienced State Licensed Chief Compliance Officer, the full-time remote Vice President, Legal & Chief Compliance Officer will oversee legal affairs, regulatory compliance, and enterprise legal risk while advising executive leadership and cross-functional teams on legal and regulatory considerations.

Key responsibilities

• Own regulatory compliance as the designated Chief Compliance Officer, managing SEC regulatory compliance and inquiries
• Oversee the compliance program, leading the development and execution of the firm's compliance framework
• Lead legal strategy and advisory, managing commercial agreements, corporate governance, and employment-related legal matters

Required qualifications

• JD and active license to practice law in at least one U.S. jurisdiction
• 10+ years of progressive legal and regulatory compliance experience, particularly within SEC-registered investment advisors
• Proven senior-level leadership experience with accountability for legal matters and compliance programs
• Deep knowledge of SEC regulations and experience managing SEC examinations and regulatory risk
• Strong executive presence and sound judgment, with a solutions-oriented approach in a fast-paced environment