Chief Compliance Officer (US)

Hoxton Wealth•Arlington, TX

4h•Remote

About The Position

We are an SEC-regulated wealth and investment business seeking an experienced Head of Compliance to support and strengthen our US compliance function. This role will play a key part in maintaining robust regulatory oversight while contributing to the continued development and scalability of our compliance framework. The successful candidate will operate within an established infrastructure, partnering closely with the Chief Compliance Officer and senior leadership to ensure regulatory integrity, effective risk management, and operational efficiency.

Requirements

5–10+ years of SEC RIA compliance experience
Experience operating in a senior compliance role (Head, Deputy Head, or Senior Manager)
Strong working knowledge of: Investment Advisers Act Form ADV and regulatory filings Code of Ethics SEC Marketing Rule Custody Rule Books and records requirements
Experience supporting or managing regulatory examinations
Ability to operate effectively in a fast-growth environment
Pragmatic, hands-on approach to compliance

Nice To Haves

Experience in international wealth or cross-border firms
Relevant licences or credentials (e.g., Series 65/7)
Experience building or enhancing compliance infrastructure

Responsibilities

Maintain SEC regulatory compliance across the RIA
Oversee ongoing monitoring, testing, and surveillance activities
Support regulatory filings, including Form ADV updates and amendments
Manage and execute the compliance calendar
Provide real-time compliance advisory support to leadership and advisers
Identify and mitigate any transition-related risk gaps
Enhance policies, procedures, and compliance documentation
Strengthen testing and monitoring programmes
Support regulatory examinations and audits
Improve automation and scalability of compliance processes
Partner with legal, operations, and investment teams to embed compliance best practice