What are the responsibilities and job description for the Chief Compliance Officer position at Taylor Root?
We’re partnering with a boutique Registered Investment Advisor (RIA) with a strong fintech focus to find an experienced Chief Compliance Officer (CCO). This is a hybrid role based in New York City, offering the chance to own and enhance the compliance program for a growing, innovative firm.
What You’ll Do:
✔ Serve as the firm’s compliance leader and trusted advisor
✔ Build, maintain, and scale compliance programs
✔ Manage regulatory engagements, legal contracts, and vendor compliance
✔ Report directly to the CEO, with a dotted line to the CCO of the parent company
✔ Collaborate across all business functions to ensure regulatory excellence
What We’re Looking For:
✅ 7-15 years of compliance experience at a small RIA
✅ Proven track record of building and enhancing compliance programs including handling SEC examinations
✅ Strong knowledge of regulatory requirements for RIAs and fintech-related services
✅ Excellent leadership, communication, and strategic thinking skills
Salary : $175,000 - $225,000