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# Chief Compliance Officer - Investment Advisor

- **Company:** Heritage
- **Location:** Bethesda, MD, United States
- **Experience:** Expert
- **Salary:** $150,000.0 - $200,000.0
- **Contract:** Permanent contract
- **Skills:** Microsoft Word, Microsoft Excel, Microsoft Office
- **Published:** July 22, 2026
- **Apply:** https://www.indeed.com/viewjob?jk=21fb3dd975b381c7

## About the Role

* 5+ years of experience in Financial Services compliance, specifically working with Registered Investment Advisers
 * Strong knowledge and understanding of regulatory filings and relevant regulations and laws.
 * Experience with Greenboard is a plus.
 * Proficient in Microsoft Office (Word and Excel).
 * Excellent written and oral communication skills.
 * Strong customer service skills.
 * Ability to work and make decisions independently within a collaborative team environment.
 * High attention to detail and accuracy.
 * Unquestionable integrity and dependability.

## Description

* Manage, implement, operate and be responsible for the firm's compliance program.
 * Monitor and test the firm's policies and procedures to determine the adequacy and effectiveness of the firm's compliance program.
 * Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
 * Train and educate employees on regulatory compliance matters.
 * Maintain well organized systemic records of the firm's compliance program.
 * Act as a point of contact for regulators (SEC, FINRA).
 * Maintain ongoing expertise in federal and state regulatory policies.
 * Oversee employee personal trading and reporting.
 * Manage the firm's surprise audit.
 * Assist with the firm's corporate audit.
 * Support related activities.
 * Additional responsibilities as necessary.


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