Chief Compliance Officer

Alexander Chapman Ltd; Maryland; On-site; USD 180,000 - 240,000; Full time

Job summary

Alexander Chapman Ltd. seeks a Chief Compliance Officer to lead the firm's compliance program and serve as a strategic advisor to senior leadership. The role requires extensive experience in investment management compliance and a deep understanding of SEC matters.

The ideal candidate will own the compliance framework, oversee examinations and regulatory inquiries, and guide governance on ethics, disclosures, and risk. M&A support and growth initiatives are also part of the remit.

Qualifications

• 10+ years of investment management compliance experience.
• 5+ years within an SEC-registered RIA.
• Prior CCO or senior compliance leadership experience.
• Strong knowledge of the Investment Advisers Act.
• Experience with SEC examinations.
• RIA, private wealth, or UHNW experience preferred.

Responsibilities

• Own the firm's compliance program and policies.
• Lead SEC examinations, regulatory inquiries, and annual reviews.
• Oversee regulatory filings, testing, disclosures, and compliance monitoring.
• Manage Code of Ethics, marketing compliance, conflicts, and related programs.
• Advise senior leadership on regulatory risk and compliance matters.
• Support M&A and continued business growth.

Skills

Regulatory compliance

SEC examinations

Compliance program leadership

Risk advisory

Code of Ethics management

Regulatory filings

M&A support

Stakeholder communication

Job description

A SEC-registered investment advisory firm is seeking a Chief Compliance Officer to lead its compliance program and serve as a key advisor to senior leadership.

Responsibilities:

• Own the firm's compliance program and policies.
• Lead SEC examinations, regulatory inquiries, and annual reviews.
• Oversee regulatory filings, testing, disclosures, and compliance monitoring.
• Manage Code of Ethics, marketing compliance, conflicts, and related programs.
• Advise senior leadership on regulatory risk and compliance matters.
• Support M&A and continued business growth.

Ideal Background:

• 10+ years of investment management compliance experience.
• 5+ years within an SEC-registered RIA.
• Prior CCO, Deputy CCO, or senior compliance leadership experience.
• Strong knowledge of the Investment Advisers Act.
• Experience with SEC examinations.
• RIA, private wealth, or UHNW experience preferred.