Chief Compliance Officer — Wealth Management Compliance Leader

Partain Consulting; San Diego (CA); On-site; USD 140,000 - 180,000; Full time

Job summary

Superior Planning, a wealth management firm in San Diego, seeks a Chief Compliance Officer to lead the compliance program, liaise with regulators, and advise on governance and contracts. The role is executive-level, requiring strong judgment, integrity, and collaboration with leadership to build a culture of compliance across the firm.

The successful candidate will oversee regulatory filings, data privacy, and fiduciary duties, while guiding advisory teams and affiliated broker-dealers.

Qualifications

• Five or more years of compliance experience supporting an SEC-registered investment adviser (RIA).
• In-depth knowledge of the Investment Advisers Act of 1940 and related rules.
• Legal experience within the financial services industry is strongly preferred.
• Juris Doctor (JD) and active bar membership strongly preferred; candidates without a JD must have extensive CCO experience.
• Experience with dual-registered advisors and broker-dealer oversight is highly preferred.
• Excellent written and verbal communication skills with the ability to explain complex regulatory topics clearly.

Responsibilities

• Lead the firm’s compliance program, governance, and annual risk assessment.
• Oversee Form ADV, Form CRS, and other regulatory filings with FINRA/SEC.
• Review marketing materials and fee arrangements for regulatory compliance.
• Conduct periodic testing, surveillance, and risk oversight including cybersecurity.
• Manage regulatory examinations, inquiries, and broker-dealer relationships.
• Draft and review governance, contracts, and employment agreements; support M&A activity.

Skills

Compliance experience

Regulatory knowledge

Communication skills

Leadership

Education

JD

Bar membership

Job description

Superior Planning, a wealth management firm in San Diego, seeks a Chief Compliance Officer to lead the compliance program, liaise with regulators, and advise on governance and contracts. The role is executive-level, requiring strong judgment, integrity, and collaboration with leadership to build a culture of compliance across the firm.

The successful candidate will oversee regulatory filings, data privacy, and fiduciary duties, while guiding advisory teams and affiliated broker-dealers.