Part-Time Chief Compliance Officer


Job Reference #1867

Our client, a boutique investment bank, is seeking a motivated compliance officer to join their team in a part-time capacity.  This new hire can be located anywhere in the US and will be responsible for the full scope of compliance responsibilities for this firm.

Key Points

  • Firm is stable, successful, and has a track record of 20+ years
  • Position offers a ton of flexibility in both hours and location (expectation is 15-20 hours/week)
  • Individual will be able to revamp and augment processes as they deem necessary


  • Update and maintain the restricted list
  • Perform OFAC checks on clients
  • Review sales literature weekly
  • Review investor lists for deals
  • Perform compliance trainings for staff
  • Respond to any regulatory inquiries and requests
  • Review licensing for FINRA and file U5s


  • 8+ years of compliance experience working in a FINRA regulated entity
  • Series 7 & 24 licenses required
  • Willingness to travel once/quarter to one of the firm’s main offices

Compensation: $150-200K base; 15-25% bonus