Chief Compliance Officer (Part-Time, On-Site)

Rise North Capital Investment Advisors
Braintree, MA | 20 Hours Per Week | $50/hour | W-2

About Rise North

Rise North Capital is a growth-focused financial advisory and leadership firm operating through:

Rise North Capital Investment Advisors – SEC-Registered RIA
Rise North Capital – Insurance operations

We are expanding our advisory team and building the compliance infrastructure required to support disciplined, responsible growth.

We value ownership, urgency, professionalism, and accountability. Compliance at Rise North is not an afterthought — it is foundational to sustainable scale.

We are seeking a part-time Chief Compliance Officer to lead and administer our compliance program.

Position Overview

The Chief Compliance Officer (CCO) will be responsible for administering and overseeing the firm’s compliance program under SEC Rule 206(4)-7.

This is an on-site, embedded leadership role supporting both our RIA and affiliated insurance activities. The CCO will work directly with firm leadership to ensure regulatory adherence, supervision standards, and disciplined operational controls as the firm grows.

This is not a remote consulting role.

Key Responsibilities

Regulatory Oversight (RIA)

Administer and maintain the firm’s compliance policies and procedures
Oversee implementation of Rule 206(4)-7 compliance program
Manage and update Form ADV filings and disclosures
Administer the firm’s Code of Ethics (attestations, personal trading monitoring)
Review and approve marketing and advertising materials under the SEC Marketing Rule
Maintain required books and records
Conduct periodic compliance testing and supervision reviews
Maintain compliance calendar and documentation

Supervision & Risk Management

Oversee outside business activity (OBA) reporting and review
Support supervision of affiliated insurance activities
Monitor conflicts of interest and compensation disclosures
Manage complaint documentation and tracking
Reinforce documentation and professional standards across advisory staff

Training & Culture

Provide compliance training support to advisors
Promote strong documentation discipline and regulatory awareness
Serve as internal compliance resource for leadership and advisors

Qualifications

Required:

3+ years experience in SEC-registered RIA compliance
Strong working knowledge of Form ADV, SEC Marketing Rule, Code of Ethics, and books & records requirements
Experience supporting IAR supervision
Strong organizational and documentation skills
Ability to operate independently in a growth environment

Preferred:

Series 65 preferred but not required
Experience in advisory firms with 10–40 advisors
Familiarity with insurance supervision environments

Schedule

20 hours per week
On-site in Braintree, MA
Flexible scheduling across 2–4 days per week

Job Type: Part-time

Pay: $50.00 per hour

Expected hours: 20 per week

Experience:

SEC-registered RIA compliance: 2 years (Required)

Ability to Commute:

Braintree, MA 02184 (Required)

Work Location: In person

Rise North Capital

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