Chief Compliance Officer | Part Time | Remote

Position Overview

We are seeking a Chief Compliance Officer with
10+ years of experience
to support compliance, regulatory and operational activities in a flexible
part time capacity (20 hours per week)
. This role focuses on RIA compliance support, regulatory filings, operational coordination and administrative governance while ensuring accuracy, efficiency and adherence to regulatory standards.

The ideal candidate will have experience supporting compliance functions within financial services, investment advisory or regulated environments, along with strong organizational and operational management capabilities.

Key Responsibilities & Deliverables

Support RIA compliance activities and ongoing regulatory requirements

Assist with Form ADV preparation, updates, and maintenance

Provide support for CCO related responsibilities and compliance processes

Manage SMA and options-related disclosures and documentation

Coordinate state registrations, filings, and examination preparation activities

Maintain compliance calendars, trackers, and reporting documentation

Handle entity filings, annual reports, and corporate compliance tracking

Coordinate with registered agents and manage state employer registrations

Support operational and administrative functions across the organization

Collaborate with leadership on internal compliance-related projects and initiatives

Contribute to internal consulting work related to compliance software initiatives, based on availability and interest

Core Qualifications and Competencies

10+ years of experience in compliance, operations or regulatory support roles within financial services or investment advisory environments

Strong understanding of RIA compliance and regulatory documentation processes

Familiarity with Form ADV filings, state registrations, and compliance tracking

Excellent organizational, documentation and follow-up skills

Strong attention to detail and ability to manage multiple priorities independently

Effective communication and stakeholder coordination abilities

Ability to work flexibly in a remote, part-time setup

Nice-to-Have Skills

Exposure to SEC or investment advisory compliance environments

Experience supporting CCO functions or regulatory examinations

Familiarity with compliance management or governance software tools

Interest in compliance technology or internal consulting initiatives

Why This Opportunity

Flexible part time remote role within a global team

Exposure to both operational and regulatory responsibilities

Collaborative and growth oriented work environment

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