Chief Compliance Officer

Description

The Chief Compliance Officer plays a key leadership role in guiding the firm’s compliance strategy, with a focus on our advisory and OCIO services. In this role, you will lead with a thoughtful and collaborative approach to compliance, overseeing day-to-day activities, supporting team development, and fostering strong relationships across investment, research, and client service teams. As a member of the Executive Leadership Team and reporting to the President, the Chief Compliance Officer helps ensure the firm continues to meet the highest standards of integrity and care in all that we do. This position is based in Portsmouth, NH, and offers a unique opportunity to work closely with our current CCO, who is retiring at year-end, as we transition the role to ensure continuity and success.

What You’ll Do

• Lead the design, implementation, and ongoing enhancement of the firm’s investment advisor compliance program.
• Oversee compliance monitoring, testing, reporting, and regulatory filings, including Form ADV.
• Develop and enforce policies and procedures to ensure compliance with applicable laws and regulations.
• Review and approve marketing materials and support the firm’s readiness for regulatory exams, serving as a primary liaison with regulators.
• Partner with senior leaders to provide guidance on compliance matters and implement new or revised regulatory requirements.
• Identify and manage business and compliance risks; lead corrective actions and preventative strategies.
• Provide regular updates to executive leadership and risk committees.
• Lead and mentor a high-performing compliance team, including oversight of operational and legal due diligence efforts.
• Stay current on industry and regulatory developments; serve as a key resource on complex compliance issues.
• Support strategic initiatives and compliance-related projects across the firm.

What You’ll Bring

• Juris Doctor required
• Minimum of 10 years of progressive compliance experience, including at least 5 years in a leadership role within an investment advisory or consulting firm
• In-depth knowledge of regulatory requirements, including Investment Advisers Act and Rule 206(4)-7, with experience designing and managing compliance programs
• Direct experience engaging with regulators such as the SEC
• Expertise in investment advisory services; familiarity with alternatives, private funds, and other complex financial products a plus

What We Offer

At Prime Buchholz, a proud B-Corp organization, we believe in aligning our success with a positive impact on the world. We also believe that great work deserves meaningful rewards. In addition to a competitive annual salary and bonus plus comprehensive medical, dental, and vision coverage, you'll enjoy a range of perks designed to support your well-being, including:

• Flexibility & Balance: Enjoy the flexibility of working from home up to two days a week, with a weekly anchor day in the office to foster team collaboration and connection.
• Savings: Plan for your future with our 401(k) match and profit-sharing program, designed to help you build long-term financial security.
• Community: We support your commitment to giving back with matching charitable contributions and paid volunteer time for causes that matter to you.
• Time: Take time to recharge with our flexible time-off policy and 11 paid holidays. Plus, we offer additional time off to support you through life’s major milestones, including family growth.

Prime Buchholz is committed to building and preserving a culture where individuals from different personal and professional backgrounds can thrive, contribute, and grow. The collective sum of our individual differences, knowledge, life experiences, and unique talents is the foundation for our accomplishments and impact.

We are proud to be an equal opportunity employer. We do not discriminate on the basis of race, color, religion, national origin, sex (including pregnancy), sexual orientation, gender identity or expression, age, physical or mental disability, veteran status, marital status, genetic information, or any other characteristic protected by state, federal or local law. We strive to create a supportive community where we are all comfortable and confident to be authentic, open, and curious.