Fractional Chief Compliance Officer

The firm is a small registered investment adviser (RIA) and fund sponsor managing risk‑controlled strategies and a recently launched fund arm. The organization seeks a fractional Chief Compliance Officer / senior compliance consultant to respond to an active SEC inquiry, remediate recordkeeping and supervisory deficiencies, and establish a sustainable compliance program.

Responsibilities

• Draft, finalize, and submit the formal response to the SEC inquiry and manage any follow-up communications.
• Remediate recordkeeping deficiencies and implement compliant recordkeeping systems across the RIA, fund, and related entities.
• Design and implement supervisory and reporting frameworks (supervisory controls, periodic supervisory reports).
• Create documented compliance policies, procedures, and workflows tailored to the business and founders’ operating model.
• Develop monitoring, testing, and escalation processes to ensure ongoing compliance and control effectiveness.
• Provide advisory support to founders and staff, training them to operate within the established processes and reduce owner burden.
• Build initial compliance deliverables and then transition to an ongoing, lower-hour advisory cadence after setup.
• Coordinate with legal counsel, auditors, and external vendors as needed to close regulatory gaps.

Qualifications

• Prior experience as a Chief Compliance Officer, senior compliance consultant, or equivalent for RIAs and/or investment funds.
• Demonstrated experience responding to SEC inquiries/audits and remediating regulatory deficiencies.
• Strong knowledge of SEC regulations applicable to investment advisers and funds; FINRA exposure helpful.
• Proven track record implementing recordkeeping systems, supervisory controls, and compliance reporting frameworks.
• Experience designing SOC/SOX‑type controls or similar internal control frameworks is a plus.
• Ability to work effectively in a small‑team environment and translate controls into practical founder‑facing processes.
• Availability to start soon and commit to the initial engagement (around 10 hours/week) for a minimum three‑month term.
• Candidates local to the DC–Maryland area preferred for possible in‑person meetings; remote candidates considered.