General Counsel + Chief Compliance Officer

Robert Half is partnering with a growing wealth management and investment advisory firm in Miami seeking a General Counsel + Chief Compliance Officer. Reporting directly to the President, you will build and lead the firm’s compliance program. The role focuses on SEC and fund compliance, with additional in-house counsel responsibilities. The firm offers a collaborative, balanced culture with 9 to 5 hours and no late nights or weekends. The schedule is hybrid, with 4 days in the office. Compensation includes a competitive base salary, bonus plus awesome benefits.

Requirements

• Lead the firm’s SEC compliance program, including policies, procedures, annual reviews, Form ADV filings and regulatory examinations
• Oversee compliance for private funds, including new fund launches and offering materials
• Develop and maintain FINRA policies and procedures, and oversee distribution and placement arrangements
• Draft and negotiate advisory, vendor and service agreements
• Advise leadership on regulatory matters, conflicts of interest and governance
• Manage outside counsel and reduce reliance on outside compliance consultants

Qualifications

• Juris Doctor (JD) from an accredited law school
• 7+ years of compliance experience, ideally in wealth management or banking
• Strong SEC compliance and fund expertise, including the Investment Advisers Act, private fund regulation and SEC examinations
• FINRA experience
• A calm, even temperament and a collaborative, problem solving approach
• Experience as a Chief Compliance Officer, Deputy General Counsel or in a similar role is a plus