Job Description

Overview

Chief Compliance Officer (CCO)

Location: Alpharetta, GA

Compensation: $100,000 - $130,000 per year

Employment Type: Full-Time

About the Firm: We are a rapidly expanding independent Registered Investment Advisor (RIA) focused on delivering personalized investment management and financial planning solutions to both retail investors and affiliated financial advisors. Our philosophy is rooted in fiduciary responsibility, transparency, and a client-first mindset. As the firm continues to scale, we are seeking an experienced Chief Compliance Officer to strengthen our governance framework and ensure full adherence to SEC and state regulations.

Position Summary

The Chief Compliance Officer will lead all aspects of the firm's compliance function from regulatory reporting and policy oversight to advisor training and risk assessment. This role is instrumental in maintaining the firm's integrity, reputation, and alignment with industry best practices. The ideal candidate will bring a balance of technical regulatory knowledge and practical leadership experience.

Key Responsibilities

1. 1. Compliance Program Development

   • Design, implement, and maintain compliance policies, procedures, and controls in line with SEC and state requirements.

   • Manage and oversee the firm's Code of Ethics, including personal trading and employee disclosure reviews.

   • Develop and deliver compliance training programs across the organization.

2. 2. Regulatory Oversight

   • Serve as the primary liaison for regulatory agencies and examinations.

   • Oversee filings such as Form ADV, Form U4, and other mandatory disclosures.

   • Manage responses to regulatory inquiries, audits, and examinations.

3. 3. Risk Management

   • Identify and assess compliance risks across the firm's business units.

   • Conduct periodic testing and internal reviews to ensure policy adherence.

   • Maintain effective documentation of compliance incidents and remediation steps.

4. 4. Internal Collaboration

   • Partner with operations, finance, HR, and executive leadership to integrate compliance into daily workflows.

   • Review advertising, marketing materials, and client communications for regulatory accuracy.

   • Act as an internal authority and resource for ethical business conduct.

5. 5. Investigations & Corrective Action

   • Lead investigations into potential violations or misconduct.

   • Develop corrective action plans and monitor ongoing remediation.

   • Support whistleblower and incident reporting programs to ensure fair and transparent outcomes.

6. 6. Reporting & Technology

   • Provide periodic compliance reports and updates to senior leadership.

   • Utilize compliance management software to maintain accurate records, certifications, and filings.

   • Continuously improve data-driven monitoring and reporting processes.

7. 7. Ethical Leadership & Culture

   • Promote a firmwide culture of compliance, accountability, and transparency.

   • Encourage proactive identification of compliance concerns and foster open communication channels.

Qualifications

• Education: Bachelor's degree in finance, business, law, or a related discipline (or equivalent work experience).

• Experience:

  • 3-5 years in compliance, legal, or regulatory roles within an RIA, broker-dealer, or similar financial services firm.

  • Strong knowledge of SEC and state regulatory frameworks for investment advisers.

• Preferred Credentials: Series 14 and/or Series 24.

• Skills: Excellent leadership, communication, and analytical abilities; capable of managing multiple priorities in a fast-paced environment; familiarity with modern compliance technology platforms.

Compensation & Benefits

• Senior leadership role within a fast-growing, multi-billion-dollar advisory firm.

• Competitive base salary plus performance incentives.

• Comprehensive benefits package including health coverage and retirement plans.

• Collaborative, mission-driven culture with strong growth potential.

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