Head of Compliance

Head of Compliance About the Company Pioneering independent investment advisory firm Industry Financial Services Type Privately Held Founded 1988 Employees 51-200 Specialties mission-aligned investing outsourced cio defined contribution advisory diagnostic reviews investment policy guidelines investment structure and implementation manager evaluation, recommendation, and monitoring performance and risk measurement audit package preparation About the Role The Company is seeking a Head of Compliance to play a pivotal role in shaping and leading the firm's compliance strategy, particularly in the areas of advisory and OCIO services. This position is essential as you will be a key member of the Executive Leadership Team, responsible for the design, implementation, and enhancement of the investment adviser compliance program. Your duties will include overseeing compliance monitoring, testing, reporting, and regulatory filings, as well as developing and enforcing robust policies to ensure adherence to all relevant laws and regulations. In this role, you will manage business and compliance risks, lead a high-performing compliance team, and stay updated on the latest industry and regulatory developments. Ideal candidates should possess a Juris Doctor degree and have at least 10 years of progressive compliance experience, with a minimum of 5 years in a leadership role at an investment advisory or consulting firm. In-depth knowledge of regulatory requirements, particularly the Investment Advisers Act and Rule 206(4)-7, is essential. Experience engaging with regulators such as the SEC is highly desirable. Candidates with expertise in investment advisory services, including familiarity with alternatives, private funds, and other complex financial products, will stand out. This role requires a strategic thinker who can effectively partner with senior leaders, mentor a compliance team, and support the firm in maintaining the highest standards of integrity and care. Hiring Manager Title President Travel Percent Less than 10% Functions Finance