Chief Risk and Compliance Officer

Accredited Investors Wealth Management®; Edina (MN); On-site; USD 165,000 - 230,000; Full time

Benefits offered by this job

Health insurance

401(k) contributions

Parental leave

Volunteer time off

Professional development

Job summary

Accredited Investors Wealth Management® is seeking a full-time Chief Risk and Compliance Officer (CRCO) to join the Executive Team. The CRCO will oversee the firm’s compliance and risk program, report to the Co-Managing Partner, and influence strategic planning with senior management.

The ideal candidate has prior CCO experience at an SEC-registered RIA, strong regulatory knowledge, and proven leadership to foster a culture of risk awareness and ethics throughout the organization.

Qualifications

• 10+ years of progressive compliance, risk, or regulatory experience at an SEC-registered adviser.
• Experience serving as Chief Compliance Officer (CCO) a plus.
• Strong analytical, leadership, and communication skills for senior stakeholders.

Responsibilities

• Lead design, implementation, and administration of the compliance program per Rule 206(4)-7.
• Oversee enterprise risk management, monitoring, testing, and remediation.
• Advise executive leadership and the board on governance and risk matters.
• Coordinate regulatory filings, examinations, and investigations.
• Manage relationships with external counsel and vendors.
• Promote culture of ethics, risk awareness, and compliance across the firm.

Skills

Risk Management

Ethical Judgement

Problem Solving

Communication Skills

Education

Juris Doctor (JD) or law degree

Job description

Accredited Investors Wealth Management® is seeking a full-time Chief Risk and Compliance Officer (CRCO). As a member of the firm’s Executive Team, the CRCO will report to the firm’s Co-Managing Partner and work closely with senior management to integrate risk and compliance considerations into the company’s strategic planning and decision-making process. The ideal candidate will have prior experience serving as Chief Compliance Officer at an SEC-registered RIA. Strong analytical capabilities, attention to detail, and ability to navigate complex legal and regulatory frameworks are essential. Effective communication and leadership skills are crucial for collaborating with various stakeholders and driving a culture of risk awareness, compliance, and ethics throughout the organization.

Who We Are

We are a high-performing group of 60+ team members who are passionate about delivering exceptional service for our clients and being a sought-after place to work. Founded in 1987, Accredited is focused on delivering industry leading wealth management services to over 600 families, providing an invaluable service by pairing the breadth and depth of our collective financial planning expertise with a thorough knowledge of our clients’ lives. Fiercely independent and 100% owned by a group of actively engaged employee shareholders, Accredited manages approximately $4.4 billion of investment assets as of 12/31/2025.

Who You Will Work With

You will be part of the Executive Committee and will work closely with senior management to provide updates and opinions on matters of risk and compliance for the firm. You will work with a Compliance Associate to oversee day-to-day administration of the firm’s compliance and risk program.

Primary Responsibilities

Compliance and Regulatory Leadership

• Serve as the firm’s designated Chief Compliance Officer with responsibility for the design, implementation, and administration of the compliance program required by Rule 206(4)-7 of the Investment Advisers Act of 1940
• Lead and develop the firm’s compliance function, including personnel, resources, and processes to support effective program execution and growth
• Provide ongoing guidance on regulatory requirements impacting client services, investment advisory activities, business initiatives, and firm operations
• Oversee compliance monitoring, testing, and remediation
• Promote a culture of compliance, ethics, and risk awareness through training, communication, and practical guidance to business units
• Conduct the annual review and report on program effectiveness, risks, and enhancements to senior management and the board
• Review marketing and client communications for regulatory compliance
• Prepare and submit regulatory filings and disclosures, including Form ADV, Form CRS, Forms N-PX, 13F, and 13H, and investment adviser representative registrations
• Serve as primary contact for regulatory examinations, audits, and reviews, including SEC and annual custody examinations

Enterprise Risk and Legal Oversight

• Lead the firm’s risk management activities, including risk identification, assessment, escalation, and remediation oversight
• Review internal and external risk assessments (e.g. audits, cybersecurity reviews, regulatory findings, and compliance testing) and identify significant risks, control gaps, and emerging issues
• Oversee legal and contractual matters, including review of client agreements, vendor contracts, and other material agreements
• Coordinate with external counsel and advise management on legal and risk implications related to business activities and strategic initiatives
• Conduct risk and compliance due diligence and ongoing oversight of third‑party vendors, including regulatory requirements and protection of client information
• Maintain the firm’s insurance portfolio, including renewals, broker relationships, and evaluation of coverage adequacy
• Oversee intellectual property matters, including coordination of trademark filings, renewals, and protection efforts with external counsel

Governance and Executive Leadership

• Advise executive leadership and the board on compliance, risk, and governance matters, and serve on key decision‑making committees
• Manage the firm’s governance and ownership matters, including organizational documents, shareholder agreements, board and shareholder actions, ownership transactions, and related governance requirements
• Serve as Corporate Secretary, maintaining corporate records and governance documentation and supporting board and committee administration

Who Will Be Successful

• Risk Management: Proficiency in assessing and managing risks. This involves identifying potential legal and regulatory challenges and developing strategies to mitigate or address them.
• Ethical Judgement: Unquestionable integrity and commitment to ethical conduct.
• Problem Solving: Strong problem‑solving skills to address risk and compliance challenges creatively and find practical solutions.
• Communication Skills: Strong written and verbal communication skills are essential for conveying complex legal concepts in a clear and understandable manner as you interact with executives, employees, and external partners.

What You Offer

• 10+ years of progressive compliance, risk, or regulatory experience at an SEC‑registered investment adviser, including experience serving as Chief Compliance Officer (CCO)
• Deep knowledge of the Investment Advisers Act of 1940 and related regulations, including demonstrated experience designing, implementing, and administering a comprehensive compliance program under 206(4)-7
• Experience leading or overseeing an enterprise risk management program, including risk assessment, monitoring, testing, reporting, and integration with compliance and business activities
• Proven track record of leadership, strategic thinking, building positive relationships and successful collaboration with business partners
• Strong organization, analytical, and communication skills, with the ability to assess complex issues, provide clear guidance, and operate effectively in a fast‑paced, evolving environment
• High degree of professionalism, sound judgement, and discretion, including the ability to handle sensitive and confidential information and incorporate feedback constructively
• Adherence to Accredited’s strict compliance and confidentiality standards
• Juris Doctor (JD) or other law degree a plus

What We Offer

Accredited Investors Wealth Management® offers a competitive compensation and comprehensive benefits package designed to support employees professionally and personally.

Estimated Total Compensation Opportunity: $175,000 to $250,000, based on experience, skills, and qualifications, including a base salary of $165,000 to $230,000 and annual firm‑wide profit sharing.

Annual firm‑wide profit sharing is calculated as a percentage of eligible base salary earnings and is subject to the firm's growth, profitability, and plan provisions. The maximum profit‑sharing payout is up to 7.5% of eligible earnings through five years of service and up to 15% thereafter.

Our core benefits include medical, dental, vision, disability, and life insurance, along with a 401(k)-plan featuring generous employer contributions and match. We also offer enhanced benefits including pet insurance; adoption and fertility assistance; financial support for professional development and certifications; personal financial and investment planning services; charitable match; and a marketplace‑leading time‑off allowance, including paid parental and grandparental leave, and paid volunteer time.

Employees enjoy a recently renovated, sustainably focused, beautifully appointed workplace with thoughtfully designed collaboration spaces, a fitness center, pickleball courts, outdoor patio, state‑of‑the‑art technology, electric vehicle charging stations, and amenities that enhance our work environment.

Accredited is committed to promoting diversity and inclusion in our hiring process and is proud to be an equal opportunity employer. We welcome qualified applicants without regard to race, color, religion, sex (including pregnancy, sexual orientation and gender identity or expression), national origin, genetics, disability, age, veteran status, and any other characteristic protected by federal, state, or local laws.

For more information about our firm, please visit our website at https://www.accredited.com/. Please direct all questions to [e-mail].