Chief Compliance Officer
Rise North Capital
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Braintree, MA
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Executive
Posted April 17, 2026
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Responsibilities
Commitments
Responsibilities
- Administer and maintain the firm’s compliance policies and procedures
- Oversee implementation of Rule 206(4)-7 compliance program
- Manage and update Form ADV filings and disclosures
- Administer the firm’s Code of Ethics (attestations, personal trading monitoring)
- Review and approve marketing and advertising materials under the SEC Marketing Rule
- Maintain required books and records
- Conduct periodic compliance testing and supervision reviews
- Maintain compliance calendar and documentation Supervision & Risk Management
- Oversee outside business activity (OBA) reporting and review
- Support supervision of affiliated insurance activities
- Monitor conflicts of interest and compensation disclosures
- Manage complaint documentation and tracking
- Reinforce documentation and professional standards across advisory staff Training & Culture
- Provide compliance training support to advisors
- Promote strong documentation discipline and regulatory awareness
- Serve as internal compliance resource for leadership and advisors Qualifications Required:
Commitments
We are seeking a part-time Chief Compliance Officer to lead and administer our compliance program.
This is an on-site, embedded leadership role supporting both our RIA and affiliated insurance activities.
This is not a remote consulting role.
Ability to operate independently in a growth environment Preferred:
Familiarity with insurance supervision environments Schedule
20 hours per week
On-site in Braintree, MA
Flexible scheduling across 2–4 days per week
Not Met Priorities
What still needs stronger evidence
Requirements
- Promote strong documentation discipline and regulatory awareness
- Serve as internal compliance resource for leadership and advisors Qualifications Required:
- 3+ years experience in SEC-registered RIA compliance
- Strong working knowledge of Form ADV, SEC Marketing Rule, Code of Ethics, and books & records requirements
- Experience supporting IAR supervision
- Strong organizational and documentation skills
- Ability to operate independently in a growth environment Preferred:
- Experience in advisory firms with 10–40 advisors
- Familiarity with insurance supervision environments Schedule
- 20 hours per week
- Flexible scheduling across 2–4 days per week
Preferred Skills
- Series 65 preferred but not required
Chief Compliance Officer (Part-Time, On-Site) Rise North Capital Investment Advisors Braintree, MA | 20 Hours Per Week | $50/hour | W-2 About Rise North Rise North Capital is a growth-focused financial advisory and leadership firm operating through:
Rise North Capital Investment Advisors – SEC-Registered RIA
Rise North Capital – Insurance operations We are expanding our advisory team and building the compliance infrastructure required to support disciplined, responsible growth. We value ownership, urgency, professionalism, and accountability. Compliance at Rise North is not an afterthought — it is foundational to sustainable scale. We are seeking a part-time Chief Compliance Officer to lead and administer our compliance program. Position Overview The Chief Compliance Officer (CCO) will be responsible for administering and overseeing the firm’s compliance program under SEC Rule 206(4)-7. This is an on-site, embedded leadership role supporting both our RIA and affiliated insurance activities. The CCO will work directly with firm leadership to ensure regulatory adherence, supervision standards, and disciplined operational controls as the firm grows. This is not a remote consulting role. Key Responsibilities Regulatory Oversight (RIA)
Administer and maintain the firm’s compliance policies and procedures
Oversee implementation of Rule 206(4)-7 compliance program
Manage and update Form ADV filings and disclosures
Administer the firm’s Code of Ethics (attestations, personal trading monitoring)
Review and approve marketing and advertising materials under the SEC Marketing Rule
Maintain required books and records
Conduct periodic compliance testing and supervision reviews
Maintain compliance calendar and documentation Supervision & Risk Management
Oversee outside business activity (OBA) reporting and review
Support supervision of affiliated insurance activities
Monitor conflicts of interest and compensation disclosures
Manage complaint documentation and tracking
Reinforce documentation and professional standards across advisory staff Training & Culture
Provide compliance training support to advisors
Promote strong documentation discipline and regulatory awareness
Serve as internal compliance resource for leadership and advisors Qualifications Required:
3+ years experience in SEC-registered RIA compliance
Strong working knowledge of Form ADV, SEC Marketing Rule, Code of Ethics, and books & records requirements
Experience supporting IAR supervision
Strong organizational and documentation skills
Ability to operate independently in a growth environment Preferred:
Series 65 preferred but not required
Experience in advisory firms with 10–40 advisors
Familiarity with insurance supervision environments Schedule
20 hours per week
On-site in Braintree, MA
Flexible scheduling across 2–4 days per week
Rise North Capital Investment Advisors – SEC-Registered RIA
Rise North Capital – Insurance operations We are expanding our advisory team and building the compliance infrastructure required to support disciplined, responsible growth. We value ownership, urgency, professionalism, and accountability. Compliance at Rise North is not an afterthought — it is foundational to sustainable scale. We are seeking a part-time Chief Compliance Officer to lead and administer our compliance program. Position Overview The Chief Compliance Officer (CCO) will be responsible for administering and overseeing the firm’s compliance program under SEC Rule 206(4)-7. This is an on-site, embedded leadership role supporting both our RIA and affiliated insurance activities. The CCO will work directly with firm leadership to ensure regulatory adherence, supervision standards, and disciplined operational controls as the firm grows. This is not a remote consulting role. Key Responsibilities Regulatory Oversight (RIA)
Administer and maintain the firm’s compliance policies and procedures
Oversee implementation of Rule 206(4)-7 compliance program
Manage and update Form ADV filings and disclosures
Administer the firm’s Code of Ethics (attestations, personal trading monitoring)
Review and approve marketing and advertising materials under the SEC Marketing Rule
Maintain required books and records
Conduct periodic compliance testing and supervision reviews
Maintain compliance calendar and documentation Supervision & Risk Management
Oversee outside business activity (OBA) reporting and review
Support supervision of affiliated insurance activities
Monitor conflicts of interest and compensation disclosures
Manage complaint documentation and tracking
Reinforce documentation and professional standards across advisory staff Training & Culture
Provide compliance training support to advisors
Promote strong documentation discipline and regulatory awareness
Serve as internal compliance resource for leadership and advisors Qualifications Required:
3+ years experience in SEC-registered RIA compliance
Strong working knowledge of Form ADV, SEC Marketing Rule, Code of Ethics, and books & records requirements
Experience supporting IAR supervision
Strong organizational and documentation skills
Ability to operate independently in a growth environment Preferred:
Series 65 preferred but not required
Experience in advisory firms with 10–40 advisors
Familiarity with insurance supervision environments Schedule
20 hours per week
On-site in Braintree, MA
Flexible scheduling across 2–4 days per week