Chief Compliance Officer, Wealth Management bei Aprio

Join Aprio's Wealth Management team and you will help clients maximize their opportunities.  Aprio Advisory Group, LLC is a progressive, fast-growing firm looking for a Chief Compliance Officer to join their dynamic team. Aprio Wealth Management is a rapidly growing Registered Investment Advisor (RIA) committed to delivering an elite client experience while maintaining the highest standards of regulatory compliance. As we scale through organic growth and strategic M&A, we are seeking a seasoned Chief Compliance Officer (CCO) to lead our compliance program and risk management efforts.Reporting directly to the CEO, the CCO will oversee all aspects of the firm’s compliance with the Investment Advisers Act of 1940, manage regulatory filings, and lead the firm’s risk committee. The ideal candidate is a proactive, detail-oriented leader with deep experience in RIA compliance, regulatory interpretation, and building scalable compliance infrastructure in a high-growth environment.

Responsibilities:

Compliance Program Leadership:

Lead the firm’s compliance program in accordance with the Investment Advisers Act of 1940.

Maintain and update the Compliance Manual, Code of Ethics, and all related policies and procedures.

Oversee the firm’s compliance testing and monitoring program to ensure ongoing adherence to regulatory requirements.

Develop and deliver employee compliance training programs across all levels of the organization.

Regulatory Oversight and Communication:

Maintain effective compliance communication across the firm, promoting awareness of regulatory requirements and policy changes.

Perform regulatory research and assess the impact of new and evolving regulations on all business lines.

Oversee all regulatory filings, including Form ADV, Form U4, and IAR registrations.

Maintain awareness of ERISA regulations and their implications for the firm’s business.

Risk Management:

Identify and anticipate potential compliance and operational risks.

Chair the firm’s Risk Committee and lead firm-wide compliance risk management initiatives.

Collaborate with business leaders to proactively address and mitigate risk exposure.

M&A Integration Support:

Lead compliance due diligence for all M&A activity, assessing regulatory risks and integration requirements.

Develop and implement compliance onboarding programs for newly acquired teams.

Ensure consistent adoption of Aprio’s compliance standards across acquired firms and business lines.

Stakeholder Engagement:

Build and maintain trusted relationships with internal stakeholders, custodians, legal counsel, and external vendors.

Serve as the primary point of contact for regulatory examinations and audits.

Manage the firm’s response to regulatory inquiries and ensure timely and accurate submissions.

Qualifications:

Minimum 10 years of experience in compliance roles within the RIA or broader financial services industry.

Demonstrated success in leading compliance programs and managing regulatory examinations.

Experience with ERISA-related compliance and M&A integration is strongly preferred.

Bachelor’s degree required; JD or advanced compliance certifications (e.g., IACCP®) preferred.

Detail-oriented and highly organized.

Thrives in a dynamic, entrepreneurial environment.

Committed to continuous improvement and operational excellence.

Aligned with Aprio’s mission to deliver an elite client experience.

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