Consultant - Chief Compliance Officer (Fractional/Contract Role)

Work with clients on a part-time, temporary, or ad-hoc basis to solve their most pressing compliance needs. Serve as strategic compliance advisor to the Principal/Founder, providing expert guidance on regulatory requirements, risk mitigation, and compliance program development for SEC-registered investment advisers, hedge funds, private equity firms, or family offices. Design and implement comprehensive compliance programs, establishing policies, procedures, and controls to ensure adherence to SEC, FINRA, CFTC, and other applicable regulatory requirements based on firm structure and investment strategies. Develop and maintain regulatory filings and documentation, including Form ADV, Form PF, Form 13F, Form D, regulatory correspondence, and ensuring timely submission and accuracy of all required regulatory reports. Establish compliance monitoring and testing programs, creating risk-based surveillance procedures for personal trading, gifts and entertainment, political contributions, outside business activities, marketing materials, and trade allocations. Build conflicts of interest and code of ethics frameworks, developing policies for personal securities transactions, insider trading prevention, information barriers, allocation procedures, and best execution practices. Prepare firms for regulatory examinations and audits, conducting mock examinations, coordinating with SEC, FINRA, or other regulatory examiners, managing document requests, and developing remediation plans for identified deficiencies. Develop AML/KYC and sanctions screening programs, establishing customer identification procedures, beneficial ownership verification, suspicious activity monitoring, and OFAC compliance protocols appropriate to the firm's investor base. Create compliance training and education programs, developing onboarding materials, annual training curriculum, and targeted education on regulatory updates, insider trading, cybersecurity, and firm-specific policies. Review and approve marketing materials and communications, ensuring compliance with advertising rules, performance reporting standards, disclosure requirements, and regulatory guidance for all client-facing materials. Assess vendor and service provider compliance, conducting due diligence on fund administrators, prime brokers, custodians, and other service providers to ensure adequate controls and regulatory compliance. Monitor regulatory developments and implement changes, tracking proposed rules, SEC guidance, enforcement actions, and industry best practices to proactively update compliance programs and advise leadership on emerging risks. Lead special projects including compliance program assessments, regulatory change implementations, new product launches, compliance system selections, and preparation for fund launches or regulatory registrations.