Verdara · 4 hours ago
Fractional Chief Compliance Officer
United States
Contract
Remote
Director/Executive
10+ years expVerdara is an early-stage retirement startup building modern pooled employer plans and initiating SEC registration. They are seeking a fractional Chief Compliance Officer (CCO) to develop and lead their compliance function, overseeing SEC compliance, guiding registration processes, and advising on regulatory risks.
Financial Services
Responsibilities
Oversee SEC/ERISA Compliance
Oversee compliance obligations across SEC, ERISA, and DOL requirements applicable to being an Registered Investment Advisor that is marketing pooled employer plans
Design, implement, and maintain our full SEC compliance program, including policies, procedures, testing, and annual reviews
Serve as the firm’s compliance authority during and after SEC registration
Guide SEC Registration & Ongoing Oversight
Take over the current progress on and lead future aspects of preparation, filing, and maintenance of Form ADV and related disclosures
Monitor regulatory developments affecting PEPs, retirement plans, and investment advisers, and translate them into practical guidance
Marketing & Communications Review
Review and evaluate all marketing materials and external communications (website content, pitch decks, thought leadership, sales materials, etc.) for regulatory compliance
Manage the approval workflow with outside counsel when legal review is required
If serving as an attorney, directly provide legal review and sign-off where appropriate
Risk, Governance & Advisory
Advise founders and leadership on compliance risks, regulatory expectations, and product decisions
Identify, disclose, and manage conflicts of interest
Support internal controls, documentation, and compliance infrastructure as the company scales
Regulatory Interface
Act as the primary point of contact for regulators
Prepare the firm for SEC and/or DOL examinations and support responses as needed
Qualification
Required
10+ years of experience in financial services compliance, including direct experience with SEC-registered entities
Deep knowledge of ERISA and DOL regulatory requirements
Deep knowledge of SEC investment adviser regulations
Deep knowledge of retirement plan and fiduciary frameworks
Prior experience as a senior compliance leader
Experience building compliance programs in early-stage or growth companies
Ability to operate independently in a fast-moving startup environment
Preferred
Attorney (JD) with relevant regulatory or securities background
Experience with 401k and 403b pooled employer plans or retirement plan providers
Prior fractional, outsourced, or advisory CCO experience
Benefits
Flexible, fractional structure with room to grow as the company scales
Opportunity to help define best practices in a rapidly evolving PEP market
Company
Verdara
Verdara is a retirement alliance built to serve the people who serve our communities.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase