Boutique Recruiting
Chief Compliance Officer
Boutique Recruiting - Oakbrook Terrace, Illinois, United States
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Overview
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Chief Compliance Officer
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Boutique Recruiting 1 day ago Be among the first 25 applicants Join to apply for the
Chief Compliance Officer
role at
Boutique Recruiting This range is provided by Boutique Recruiting. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$150,000.00/yr - $200,000.00/yr A rapidly growing and mission-driven retirement planning firm is seeking an experienced and personable Chief Compliance Officer (CCO) to oversee its regulatory compliance function. Reporting directly to ownership, this key leadership role will manage all internal compliance processes, oversee communication monitoring and regulatory filings, and collaborate with external compliance consultants to ensure full alignment with SEC regulations. The ideal candidate is a collaborative, emotionally intelligent professional who combines deep technical compliance knowledge with a team-first, solutions-oriented mindset.
Salary Range:
$150,000 - $200,000 / year DOE
Chief Compliance Officer Responsibilities
Serve as the primary in-house compliance authority for an SEC-registered RIA Monitor and approve all marketing materials for regulatory adherence Oversee trade surveillance, execution compliance, and employee trading practices Partner with outsourced consultants for guidance and support Monitor internal and external advisor communications to ensure regulatory compliance Stay current on SEC and FINRA regulations, interpret applicability, and implement updates Lead preparation for and response to regulatory audits and examinations Manage required regulatory filings and documentation Supervise one direct report responsible for trade execution and assist with team oversight Work directly with company founders to align compliance practices with operational goals
Chief Compliance Officer Requirements
10–15+ years of RIA compliance experience Deep understanding of SEC regulations governing RIAs Demonstrated ability to manage compliance processes in a fast-paced, growing firm Exceptional communication and interpersonal skills; must be approachable and collaborative Strong organizational skills and attention to detail Series 65 or Series 7 license is preferred Bachelor’s degree is a plus Familiarity with platforms like Orion, Schwab/Fidelity Institutional, and Morningstar Experience overseeing compliance in a firm offering holistic retirement planning services is preferred
Benefits
Competitive base salary Performance based bonus Flexible PTO 8 paid holidays 401(k) with company match Comprehensive health insurance
If you’re seeking a seat at the leadership table in a purpose-driven, high-growth firm, this is your opportunity. Apply now!
Seniority level
Seniority level Executive Employment type
Employment type Full-time Job function
Job function Legal Industries Financial Services, Banking, and Investment Management Referrals increase your chances of interviewing at Boutique Recruiting by 2x Get notified about new Chief Compliance Officer jobs in
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Chief Compliance Officer
role at
Boutique Recruiting 1 day ago Be among the first 25 applicants Join to apply for the
Chief Compliance Officer
role at
Boutique Recruiting This range is provided by Boutique Recruiting. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range
$150,000.00/yr - $200,000.00/yr A rapidly growing and mission-driven retirement planning firm is seeking an experienced and personable Chief Compliance Officer (CCO) to oversee its regulatory compliance function. Reporting directly to ownership, this key leadership role will manage all internal compliance processes, oversee communication monitoring and regulatory filings, and collaborate with external compliance consultants to ensure full alignment with SEC regulations. The ideal candidate is a collaborative, emotionally intelligent professional who combines deep technical compliance knowledge with a team-first, solutions-oriented mindset.
Salary Range:
$150,000 - $200,000 / year DOE
Chief Compliance Officer Responsibilities
Serve as the primary in-house compliance authority for an SEC-registered RIA Monitor and approve all marketing materials for regulatory adherence Oversee trade surveillance, execution compliance, and employee trading practices Partner with outsourced consultants for guidance and support Monitor internal and external advisor communications to ensure regulatory compliance Stay current on SEC and FINRA regulations, interpret applicability, and implement updates Lead preparation for and response to regulatory audits and examinations Manage required regulatory filings and documentation Supervise one direct report responsible for trade execution and assist with team oversight Work directly with company founders to align compliance practices with operational goals
Chief Compliance Officer Requirements
10–15+ years of RIA compliance experience Deep understanding of SEC regulations governing RIAs Demonstrated ability to manage compliance processes in a fast-paced, growing firm Exceptional communication and interpersonal skills; must be approachable and collaborative Strong organizational skills and attention to detail Series 65 or Series 7 license is preferred Bachelor’s degree is a plus Familiarity with platforms like Orion, Schwab/Fidelity Institutional, and Morningstar Experience overseeing compliance in a firm offering holistic retirement planning services is preferred
Benefits
Competitive base salary Performance based bonus Flexible PTO 8 paid holidays 401(k) with company match Comprehensive health insurance
If you’re seeking a seat at the leadership table in a purpose-driven, high-growth firm, this is your opportunity. Apply now!
Seniority level
Seniority level Executive Employment type
Employment type Full-time Job function
Job function Legal Industries Financial Services, Banking, and Investment Management Referrals increase your chances of interviewing at Boutique Recruiting by 2x Get notified about new Chief Compliance Officer jobs in
Oakbrook Terrace, IL . Chicago, IL $202,741.00-$225,268.00 2 weeks ago VP Managed Investments & Fund Compliance
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Associate General Counsel, Head of Risk & Compliance
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Chicago, IL $201,100.00-$368,700.00 2 weeks ago Chief Operating Officer for Athletics and Recreation
Evanston, IL $211,000.00-$350,000.00 2 days ago Chicago, IL $175,000.00-$210,000.00 5 days ago VP, Assistant General Counsel - Claims and Carrier Compliance
Oak Brook, IL $200,000.00-$270,000.00 1 day ago Associate General Counsel, Sanctions Compliance
Chicago, IL $198,000.00-$266,000.00 5 days ago Compliance Counsel, Global Head of Anti-Bribery & Anti-Corruption
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#J-18808-Ljbffr