Addison Group · 9 hours ago
Chief Compliance Officer
Denver, CO
Full-time
Onsite
Director/Executive
$200K/yr - $300K/yr
8+ years expAddison Group is a growing firm in the investment/wealth management sector, and they are seeking an experienced Chief Compliance Officer to lead all legal and compliance functions. This executive will oversee enterprise-wide legal strategy and regulatory compliance programs while serving as a key member of the leadership team.
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Hiring Manager
Erin Habig
Responsibilities
Lead all corporate legal matters, including governance, contracts, litigation, risk management, and external counsel oversight
Oversee firm‑wide compliance programs (RIA/BD), regulatory filings, audits, exams, marketing review, and policy development
Provide executive‑level strategic guidance on legal, regulatory, and risk issues
Partner cross‑functionally with finance, operations, HR, marketing, and investment teams
Lead and develop legal/compliance staff; ensure adherence to SEC/FINRA regulations
Qualification
Required
JD and licensed attorney in good standing
8+ years in compliance, legal, or risk within financial services (RIA/BD experience is a must)
Strong leadership, communication, and organizational skills
Preferred
Professional certifications such as CSCP or CICCP preferred
Benefits
M/D/V
401K contribution
Stock options
Company
Addison Group
Addison Group specializes in filling company’s contract, contract-to-hire, or direct hire positions with professional candidates.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Odyssey Investment Partners
2022-01-04Acquired
2016-12-19Private Equity
Leadership Team
Thomas B. Moran
CEO
Recent News
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