Chief Compliance Officer

Chief Compliance Officer (CCO)

Bonsai | Boulder, CO | Full-Time, On-Site

About the Role

Bonsai is seeking an experienced Chief Compliance Officer to lead and oversee our securities compliance program across Bonsai Advisors and our advisor enablement platform. This is a high-impact leadership role for a compliance professional who can build and scale a rigorous, SEC-aligned compliance framework while enabling a fast-growing, multi-advisor distribution business.

You will have direct oversight of advisor marketing and communications compliance, coordinate with affiliated broker-dealers on FINRA-related supervisory matters, and serve as a strategic partner to leadership as Bonsai scales.

This role is based full-time at our Boulder, CO office.

What You'll Do

Securities Compliance Oversight

• Serve as the designated Chief Compliance Officer for Bonsai Advisors
• Design, implement, and maintain the firm's compliance program in accordance with SEC and applicable state RIA regulations
• Maintain Written Supervisory Procedures (WSPs), compliance policies, and internal controls
• Conduct annual compliance reviews, risk assessments, and compliance testing
• Oversee regulatory filings, audits, and examinations
• Monitor regulatory developments and advise leadership on compliance risk and business impact
• Review and address conflicts of interest
• Oversee client onboarding processes, including suitability and required disclosures
• Ensure proper maintenance of the firm's books and records in accordance with applicable rules

Advisor Marketing & Communications Supervision

• Oversee advisor marketing and communications activity across the Bonsai platform
• Establish and manage review processes for advertising and promotional materials, social media, testimonials and endorsements, co-branded and partner marketing initiatives, and electronic communications

Broker-Dealer Coordination

• Coordinate with affiliated broker-dealers to support compliant advisor activity involving securities products
• Review marketing and sales materials for alignment with broker-dealer and product partner standards
• Monitor licensing, registration, and continuing education requirements
• Provide guidance on disclosure, suitability, and sales practice standards
• Escalate compliance concerns and partner with broker-dealer supervisory teams

Compliance Operations & Training

• Administer compliance monitoring, surveillance, and reporting programs
• Oversee handling of compliance exceptions and customer complaints
• Coordinate with internal teams and third-party consultants on regulatory inquiries
• Design and deliver compliance training for advisors and internal teams
• Manage external compliance vendors and consultants; conduct ongoing due diligence of third-party service providers

What You Bring

Required

• Active Series 65 or Series 66 license
• 7 years of compliance experience within an RIA, broker-dealer, or hybrid wealth management firm
• Experience serving as, or directly supporting, a designated Chief Compliance Officer
• Strong working knowledge of SEC and state RIA regulations
• Demonstrated experience supervising advisor advertising and communications under the SEC Marketing Rule
• Experience coordinating compliance across multi-advisor or platform-based distribution models

Preferred

• Experience with advisor enablement platforms, TAMPs, or wealth technology ecosystems
• Experience supporting bank-affiliated or institutional advisor programs
• Experience building or scaling compliance programs within a growth-stage firm

What Makes You Great at This

• Strong regulatory judgment and risk management expertise
• Ability to balance compliance rigor with advisor and business enablement
• Strategic thinker with strong operational execution skills
• Excellent cross-functional leadership and communication skills
• Experience designing scalable, technology-supported compliance workflows

Reporting & Collaboration

This role reports to the President of Bonsai Advisors, and works closely with Relationship Management, Advisor Onboarding, Product & Technology, Operations, Strategic Partnerships, and Third-Party Consultants.

Location

This is a full-time, in-office position based in Boulder, CO.

Compensation & Benefits

• Compensation: $120,000 – $150,000 annually, depending on experience Bonus
• Benefits: We do not currently offer Medical, dental, and vision insurance, but you will have paid time off and holidays.

How to Apply

Please submit your resume and cover letter via email to Shelly Osterberg at shelly@mybonsai.com.

Application deadline: This posting will remain open until filled.

• Bonsai is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.