Hybrid Chief Compliance Officer, Wealth Management

Posted last month

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About the role

  • Lead the firm’s compliance program in accordance with the Investment Advisers Act of 1940
  • Maintain and update the Compliance Manual, Code of Ethics, and related policies and procedures
  • Oversee the firm’s compliance testing and monitoring program to ensure ongoing adherence to regulatory requirements
  • Develop and deliver employee compliance training programs across all levels of the organization
  • Maintain effective compliance communication across the firm and perform regulatory research
  • Oversee all regulatory filings, including Form ADV, Form U4, and IAR registrations
  • Maintain awareness of ERISA regulations and their implications for the firm’s business
  • Identify and anticipate potential compliance and operational risks and chair the firm’s Risk Committee
  • Lead compliance due diligence for M&A activity and develop compliance onboarding programs for acquired teams
  • Build and maintain trusted relationships with internal stakeholders, custodians, legal counsel, and external vendors
  • Serve as the primary point of contact for regulatory examinations and audits and manage responses to regulatory inquiries

Requirements

  • Minimum 10 years of experience in compliance roles within the RIA or broader financial services industry
  • Demonstrated success in leading compliance programs and managing regulatory examinations
  • Experience with ERISA-related compliance and M&A integration is strongly preferred
  • Experience overseeing regulatory filings including Form ADV, Form U4, and IAR registrations
  • Bachelor’s degree required; JD or advanced compliance certifications (e.g., IACCP®) preferred
  • Detail-oriented and highly organized
  • Thrives in a dynamic, entrepreneurial environment
  • Committed to continuous improvement and operational excellence
  • Aligned with Aprio’s mission to deliver an elite client experience

Benefits

  • Medical, Dental, and Vision Insurance on the first day of employment
  • Flexible Spending Account and Dependent Care Account
  • 401k with Profit Sharing
  • 9+ holidays and discretionary time off structure
  • Parental Leave – coverage for both primary and secondary caregivers
  • Tuition Assistance Program and CPA support program with cash incentive upon completion
  • Discretionary incentive compensation based on firm, group and individual performance
  • Incentive compensation related to origination of new client sales
  • Top rated wellness program
  • Flexible working environment including remote and hybrid options
  • Competitive compensation and industry-leading benefits

Job title

Chief Compliance Officer, Wealth Management

Job type

Experience level

Lead

Salary

Not specified

Degree requirement

Bachelor's Degree

Location requirements

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