Head of Compliance
Head of Compliance at SolomonEdwards — Remote
- Company: SolomonEdwards
- Location: Remote
- Employment type: FULL_TIME
- Salary: USD 960–230000 / year
- Posted: 2026-06-17
About this role
Boutique wealth management firm is looking to hire a Head of Compliance! This person will manage the risk management and compliance function for the organization. This is a high exposure role that will work closely with the Executive Leadership team to scale the compliance function as the firm continues to grow. This role is both strategic and hands-on and the CCO must be comfortable rolling up his/her sleeves. Company also offers a fantastic work life balance, family-friendly culture, and highly competitive compensation/benefits package! Responsibilities include: Developing, implementing, and enforcing policies and procedures in accordance with SEC, state, and federal regulations Cultivating a culture of compliance Assess risks to the firm and mitigate any exposure Advise wealth managers, financial advisors, and the investment teams on any compliance-related processes Establish compliance best practices throughout the organization Ensure timely regulatory filings, including Form ADV Serve as primary liaison during SEC and state examinations Develop and execute a risk-based monitoring and testing program Conduct annual reviews Monitor changes to industry regulations and ensure new regulations are properly incorporated Manage members of the compliance team Requirements include: Bachelor's degree required, Master's degree or Law degree a plus 5+ years of experience in regulatory compliance Strong understanding of SEC regulations, including Act 1940 Excellent communication and presentation skills