Chief Compliance Officer

Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper.  

The Chief Compliance Officer is responsible for managing the firm’s legal, compliance, and compliance risk programs, ensuring regulatory adherence, guiding compliance initiatives, and fostering strong partnerships across teams and stakeholders.

Responsibilities:

• Lead compliance program in accordance with the Investment Advisers Act of 1940, including responsibility over compliance documentation (Compliance Manual, Code of Ethics, Policies and Procedures), compliance testing and monitoring program, and employee compliance training
• Guide, develop and support members of the Legal and Compliance team
• Develop, oversee and prepare periodic reports to senior management and Executive Committee
• Evaluate new or enhanced services, processes or initiatives for compliance issues
• Maintain effective compliance communication, including promoting heightened awareness of compliance requirements, understanding of new and existing compliance issues and related policies and procedures
• Assist with the maintenance of new and updated client agreements
• Perform regulatory research and assessment of new regulatory developments for all business lines
• Oversee regulatory filings and IAR registrations
• Maintain awareness and understanding of ERISA regulations impacting the firm’s business
• Identify and anticipate potential risks, chair the Risk Committee, and lead compliance risk management activities
• Maintain and build trusted relationships with essential business partners, colleagues, external vendors, and key stakeholders

Required Education, Professional & Technical Experience

• Bachelor’s degree required
• Legal degree preferred
• 5-7 years of practice with an SEC registered investment adviser, regulator, or in-house legal department with experience primarily in financial services and securities regulation
• Knowledge and experience with institutional clients
• Knowledge and experience in ERISA is a plus
• Leadership skills, with steadfast resolve and personal integrity
• Ability to diagnose problems quickly and have foresight into potential issues
• Strategic business partner at all levels of leadership
• Success managing and optimizing teams of people
• A mindful and respectful approach to a culture of compliance

Essential Traits

• Thoughtful practitioner with the ability to establish rapport and build relationships.
• Exceptional communication in a public setting with notable writing and presentation skills.
• Adaptability when priorities shift and able to work independently.
• Sound judgment and problem-solving skills.
• Innovative, curious, and enthusiastic.
• Detail-oriented with a high level of accuracy and organization.
• Ability to cultivate and develop inclusive and equitable working relationships to support a sense of belonging.
• Passionate about working in an organization that values and promotes diversity, equity, inclusion, and anti-racism.

Work Environment & Travel Requirements

• Less than 5-10% of travel for training and business events.
• This role offers a hybrid work model with three days in one of our professional office environments and two days remotely. 

Physical Job Expectations

The physical job expectations described here are representative of those that must be met by an associate to successfully perform the essential functions of this job:

• Must be able to remain in a stationary position for up to 8 hours.
• Constantly operate a computer and other office productivity machinery, such as a calculator, copy machine, and computer printer.
• The ability to communicate information and ideas so others will understand. Must be able to exchange accurate information.
• The person in this position may at times need to move throughout the building to access different areas.
• Ability to move equipment weighing up to 25 pounds.
• Reasonable accommodations may be made to enable individuals with disabilities to perform their primary responsibilities. 

What We Offer (Summary Highlights)

A workplace that welcomes authenticity and practices acceptance for what makes each of us different. We are committed to educating our team, growing as a firm, and taking intentional actions related to diversity, equity, belonging and inclusion. We strive to be active participants of change in and outside our industry.

The base salary range for this position is $200K – $250K. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.

Paid Time Off

• Generous PTO with optional rollover
• Personal/Sick Time
• 10 Holidays with additional half days off for specific holidays throughout the year
• Summer Perks
• Bereavement Time –inclusive time off for a loved one, unborn child, or pet.
• Employer Paid Parental, Personal and Family leaves.
• Professional Development Day for eligible exams

Work Life Convenience Benefits

• Exclusive Wellness Benefit Programs from VirginPulse, Care.com, Torchlight, Real Appeal, Peloton and more
• KindBody – Family & Fertility Assistance
• Wellness Reimbursement Program
• Professional Development Designation reimbursement
• Employee Referral Program
• Employee Resource Groups, Mentorship Program & New Hire Cohort
• 401K Plan with company match
• Cell Phone Reimbursement Program

Fiducient Advisors is a CFA Institute DEI Signatory. As a signatory, we commit to six Code Principals that seek to drive DEI progress in a meaningful way that can be measured. The six principles focus on pipeline, talent acquisition, promotion and retention, leadership, influence, and measurement.

Fiducient Advisors is an Equal Opportunity Employer that provides equal opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, disability, genetic predisposition or carrier status, or any other characteristic protected by federal, state, or local law.  The company is committed to this policy with respect to recruitment, hiring, placement, promotion, transfer, training, compensation, benefits, employee activities and general treatment during employment.  It is expected that all employees are aware of this policy and that they create an environment that is sensitive and respectful to all individuals.

We are committed to upholding a workplace that welcomes authenticity and practices acceptance for what makes each of us different. We are committed to educating our team, growing as a firm, and taking intentional actions related to diversity, equity, equality, belonging and inclusion. We strive to be active participants of change in and outside our industry.