Job Description

Get AI-powered advice on this job and more exclusive features.

This range is provided by Harrison Gray Search. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$175,000.00/yr - $250,000.00/yr

Harrison Gray Search has partnered with a leading multi-family office as they look for a Chief Compliance Officer/In House Counsel to join their leadership team.

Reporting directly to the executive leadership, this individual will play a vital role in overseeing the firm’s regulatory and operational compliance functions, in addition to dedicating time to In House Counsel responsibilities. The ideal candidate will have a strong legal background along with RIA experience, particularly in working with UHNW clients and private investment vehicles.

While the primary focus will be on maintaining and evolving the firm’s regulatory compliance framework, the CCO will also collaborate closely with client advisors and firm leadership to ensure full compliance across the firm’s diverse service offerings. The role requires close partnership with operations leadership to align compliance initiatives with broader business objectives.

Key Responsibilities:

• Oversee compliance for the firm’s core RIA and family office services, including real estate and direct investment entities.
• Lead all legal, regulatory, and compliance initiatives and conduct holistic risk assessments.
• Manage and evolve a robust institutional-grade compliance program; update policies and procedures as needed.
• Deliver regular compliance updates to executive leadership.
• Supervise ongoing compliance efforts in collaboration with external consultants.
• Address key risk areas, including trading, code of ethics, cybersecurity, custody, and business continuity.
• Lead the firm through SEC examinations and coordinate necessary documentation reviews.
• Serve as a liaison with outside legal counsel and third-party compliance providers.
• Maintain and update compliance documentation (Manual, BCP, trade procedures, etc.).
• Track and clear employee trading activity and manage the restricted securities list.
• Oversee regulatory filings and client communications (ADV, CRS, etc.).
• Monitor compliance-related sections in the CRM and support custody audits.
• Review client onboarding materials and sample trades for accuracy and alignment with procedures.
• Assess and update internal agreements and related documentation as necessary.

Qualifications:

• Minimum 10 years of experience in law and/or RIA compliance, ideally within a complex or UHNW-focused environment.
• Juris Doctor (JD) degree.
• Strong knowledge of fiduciary standards and federal/state regulatory guidelines.
• Proven track record of addressing complex compliance and client/account issues.
• High attention to detail with excellent organizational and multitasking abilities.
• Strong judgment and ability to prioritize in a dynamic, high-profile environment.
• Proficiency in Microsoft Office Suite, especially Excel.
• Exceptional written and verbal communication skills.
• Flexible and adaptable to a rapidly evolving business landscape.
• Competitive base compensation with bonus opportunity
• Balanced work environment with no billable hours and a 40-45 hour work week
• Excellent benefits including comprehensive medical and dental plans, fully covered gym membership, and 401 (k) contribution

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance and Management

• Industries

  Investment Management

Referrals increase your chances of interviewing at Harrison Gray Search by 2x

Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Get notified about new Chief Compliance Officer jobs in Boston, MA .

Vice President and Chief Counsel Workplace Solutions Products

Vice President, Chief Compliance and Privacy Officer

Chief Compliance Officer - Private Equity & Alternatives

Chief Operating Officer – Corporate Functions, EVP

Head, Ethics & Compliance, Global Oncology BU

Cambridge, MA $255,800.00-$401,940.00 2 weeks ago

Vice President, Regulatory Compliance Advisor

Head, Ethics & Compliance, Global Oncology BU

Boston, MA $200,000.00-$240,000.00 1 month ago

Chief of Staff - Private Equity (Ref: 4ddd)

Boston, MA $300,000.00-$400,000.00 1 day ago

Boston, MA $210,000.00-$242,000.00 4 months ago

Director & Assoc General Counsel, International

Director, Assistant General Counsel – Securities

Sr Director, Associate General Counsel M&A and Strategic Capital

SSGA COO - Global Head of Business, Technology Risk and Controls, Managing Director

Deputy General Counsel, Commercial & Healthcare Compliance

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

Job Tags

Similar Jobs