The Chief Compliance Officer plays a key leadership role in guiding the firm’s compliance strategy, with a focus on our advisory and OCIO services. In this role, you will lead with a thoughtful and collaborative approach to compliance, overseeing day-to-day activities, supporting team development, and fostering strong relationships across investment, research, and client service teams. As a member of the Executive Leadership Team and reporting to the President, the Chief Compliance Officer helps ensure the firm continues to meet the highest standards of integrity and care in all that we do. This position is based in Portsmouth, NH, and offers a unique opportunity to work closely with our current CCO, who is retiring at year-end, as we transition the role to ensure continuity and success.

• Lead the design, implementation, and ongoing enhancement of the firm’s investment adviser compliance program.
• Oversee compliance monitoring, testing, reporting, and regulatory filings, including Form ADV.
• Develop and enforce policies and procedures to ensure compliance with applicable laws and regulations.
• Review and approve marketing materials and support the firm’s readiness for regulatory exams, serving as a primary liaison with regulators.
• Partner with senior leaders to provide guidance on compliance matters and implement new or revised regulatory requirements.
• Identify and manage business and compliance risks; lead corrective actions and preventative strategies.
• Provide regular updates to executive leadership and risk committees.
• Lead and mentor a high-performing compliance team, including oversight of operational and legal due diligence efforts.
• Stay current on industry and regulatory developments; serve as a key resource on complex compliance issues.
• Support strategic initiatives and compliance-related projects across the firm.