Chief Compliance Officer
Job Description:
Harrison Gray Search has partnered with a leading multi-family office as they look for a Chief Compliance Officer/In House Counsel to join their leadership team.
Reporting directly to the executive leadership, this individual will play a vital role in overseeing the firm’s regulatory and operational compliance functions, in addition to dedicating time to In House Counsel responsibilities. The ideal candidate will have a strong legal background along with RIA experience, particularly in working with UHNW clients and private investment vehicles.
While the primary focus will be on maintaining and evolving the firm’s regulatory compliance framework, the CCO will also collaborate closely with client advisors and firm leadership to ensure full compliance across the firm’s diverse service offerings. The role requires close partnership with operations leadership to align compliance initiatives with broader business objectives.
Key Responsibilities:
- Oversee compliance for the firm’s core RIA and family office services, including real estate and direct investment entities.
- Lead all legal, regulatory, and compliance initiatives and conduct holistic risk assessments.
- Manage and evolve a robust institutional-grade compliance program; update policies and procedures as needed.
- Deliver regular compliance updates to executive leadership.
- Supervise ongoing compliance efforts in collaboration with external consultants.
- Address key risk areas, including trading, code of ethics, cybersecurity, custody, and business continuity.
- Lead the firm through SEC examinations and coordinate necessary documentation reviews.
- Serve as a liaison with outside legal counsel and third-party compliance providers.
- Maintain and update compliance documentation (Manual, BCP, trade procedures, etc.).
- Track and clear employee trading activity and manage the restricted securities list.
- Oversee regulatory filings and client communications (ADV, CRS, etc.).
- Monitor compliance-related sections in the CRM and support custody audits.
- Review client onboarding materials and sample trades for accuracy and alignment with procedures.
- Assess and update internal agreements and related documentation as necessary.
Qualifications:
- Minimum 10 years of experience in law and/or RIA compliance, ideally within a complex or UHNW-focused environment.
- Juris Doctor (JD) degree.
- Strong knowledge of fiduciary standards and federal/state regulatory guidelines.
- Proven track record of addressing complex compliance and client/account issues.
- High attention to detail with excellent organizational and multitasking abilities.
- Strong judgment and ability to prioritize in a dynamic, high-profile environment.
- Proficiency in Microsoft Office Suite, especially Excel.
- Exceptional written and verbal communication skills.
- Flexible and adaptable to a rapidly evolving business landscape.
Compensation & Benefits:
- Competitive base compensation with bonus opportunity
- Balanced work environment with no billable hours and a 40-45 hour work week
- Excellent benefits including comprehensive medical and dental plans, fully covered gym membership, and 401 (k) contribution
