Chief Compliance Officer

BakerAvenue•San Francisco, CA

1d•Hybrid

About The Position

Since 2004, BakerAvenue has guided clients through personal and professional transitions. Our firm provides comprehensive wealth management and investment expertise for high-net-worth individuals, families, trusts, foundations, and endowments. We are headquartered in San Francisco with offices in New York, Dallas, Houston, Atlanta, San Diego, and Naples. At BakerAvenue, we care about our people and believe in the importance of personal connections and collaborative efforts. Our success is driven by the relationships we form with our colleagues and clients. Our values of community, excellence, trust, and inclusion are at the heart of everything we do. These values are our inspiration for how we serve our clients, employees, and the community we share. BakerAvenue is proud to be recognized by leading companies and organizations for our commitment to excellence. Our award-winning culture has maintained our Great Place to Work certification, and we have earned our Diversio certification for our efforts to elevate diversity & inclusion. The Role: BakerAvenue is seeking an experienced Chief Compliance Officer to oversee a national SEC-registered RIA compliance program. This individual will act as a strategic partner to the Executive Committee, ensuring regulatory integrity across the Firm including across our regional offices around the country. The ideal candidate will be a self-starter, critical thinker and collaborative problem solver with a comprehensive regulatory background with previous experience as a CCO at one or more RIAs. This position will be part of our San Francisco team and the ideal candidate will live in the Bay Area. This is a hybrid role that does not require being in the office daily.

Requirements

10+ years of experience as a CCO at a Wealth Management-focused RIA.
Expertise in Advisers Act: Deep knowledge of the Investment Advisers Act of 1940 and relevant securities laws.
Seniority & Authority: Empowered with the independence to compel employees to adhere to compliance standards.
Strong understanding of RIA Operations, including but not limited to Trading, Wealth Advisory, Marketing, and Client Onboarding.
4-year college degree with a preferred emphasis in economics, business, finance, accounting or similar field.
Willingness to roll up sleeves to perform all responsibilities needed to ensure success.
Strong problem-solving skills and demonstrated ability to take initiative.
Technologically savvy; gets up to speed quickly on modern tech stacks and partners credibly with Trading, Wealth Advisory and other functional groups.
Drives outcomes across Compliance, Client Service, Wealth Advisory and Marketing; persuades with data and regulatory rationale rather than authority.
Executive presence and strong communication skills — Trusted partner to the Executive Team; briefs executives on complex risk topics and contributes to board materials.
Strong abilities to multi-task, self-manage and effectively prioritize.
Unquestioned commitment to integrity in personal and professional activities.
Demonstrated ability to work effectively in a team environment.

Nice To Haves

Certifications such as Certified Regulatory Compliance Manager (CRCM) or Investment Adviser Certified Compliance Professional (IACCP) are highly valued.
CFP a plus.

Responsibilities

Developing, implementing, and maintaining written policies and procedures, including a Code of Ethics and Business Continuity Plan.
Maintaining SEC and State registrations and monitoring compliance with the Investment Advisers Act of 1940.
Conducting the required annual review of policies to test their effectiveness and adequacy.
Identifying, mitigating, and documenting compliance risks across all business operational activities.
Training employees on compliance regulations and investigating compliance matters.
Acting as the primary liaison during regulatory exams, audits, and internal investigations.
Fostering a firm-wide culture of compliance and integrity.