Chief Compliance Officer (US)

Hoxton Wealth
College Station, TX
Job Description
We are seeking an experienced Head of Compliance to support and strengthen our US compliance function. The role will maintain regulatory integrity, risk management, and operational efficiency.

Requirements

  • 5-10+ years of SEC RIA compliance experience
  • Experience operating in a senior compliance role (Head, Deputy Head, or Senior Manager)
  • Strong working knowledge of Investment Advisers Act, Form ADV and regulatory filings, Code of Ethics, SEC Marketing Rule, Custody Rule, Books and records requirements
  • Experience supporting or managing regulatory examinations
  • Ability to operate effectively in a fast-growth environment
  • Pragmatic, hands-on approach to compliance
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