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Chief Compliance Officer

Reference Number: DW5781
Location: Boston, Massachusetts

The Judson Group has partnered with an independently held, growing multi-family wealth management firm in the search for a Chief Compliance Officer. The ideal candidate will have had experience leading a similar firm’s compliance, technology and operations departments.

This individual will provide leadership, management, and vision necessary to ensure that the firm is in accordance with compliance protocol, has the proper operational controls, administrative and reporting procedures, and systems in place to effectively grow the organization, ensuring financial strength and operating efficiency.


• Responsible for oversight of the firm’s compliance program, ensuring regulatory compliance with all policies and goals.

• Develop and implement best-practice processes related to the firm’s operations, with special emphasis on technology (CRM, Financial Planning Software etc.)

• Responsible for all SEC audits and examinations, regulatory reports, and filing amendments.

• Act as liaison between Service Team members, Management and Managing Partner, handling all issues and support in regards to investment advisory regulatory and compliance matters.

• Oversee technology operations to ensure full implementation of technology resources.


• 10+ years of compliance and operations/technology experience within financial services. Experience at a Registered Investment Advisor (RIA) highly preferred.

• Bachelor’s degree; Advanced degree (MBA) preferred.

• Series 65 license preferred.

• Superior management skills including the ability to influence and engage direct and indirect reports and peers.

• Strong writing and communication skills.


Competitive base salary and benefits


Boston, Massachusetts

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