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
