Fractional Chief Compliance Officer

Overview

Fractional Chief Compliance Officer — Early-Stage Fund

An early-stage, fully remote fund founded by technology entrepreneurs entering financial services seeks an experienced, part-time CCO to design and implement its compliance foundation. This role will ensure proper SEC and FINRA registration, reporting, controls, and audit readiness as the fund launches and scales.

Responsibilities

• Assess the fund’s current compliance posture and deliver a clear, prioritized roadmap of regulatory requirements and remediation steps
• Guide the team through SEC and FINRA registration, required filings, and ongoing reporting obligations
• Advise on auditor selection and manage relationships with external auditors
• Establish and document internal compliance policies, procedures, and controls appropriate for an early-stage fund
• Identify and flag regulatory and operational risks; provide proactive guidance on risk mitigation as the fund scales
• Support audit preparation, remediation, and cyclical compliance reviews

Qualifications

• 10+ years of experience in financial compliance, preferably within hedge funds, investment advisers, or asset management
• Deep familiarity with SEC and FINRA regulatory frameworks and reporting requirements
• Relevant certifications such as Series 65, CFA, CAMS, or equivalent
• Experience with audits—either as an auditor (e.g., at a CPA firm) or as the audited party—is a strong plus
• Ability to translate complex regulatory requirements into clear, actionable guidance for a non-finance founding team
• Solid understanding of fund structures, operations, and common compliance challenges