Chief Compliance Officer, Wealth Management

Work with a nationally ranked CPA and advisory firm that is passionate for what's next. Aprio has 30 U.S. office locations, one in the Philippines and more than 2,100 team members that speak 60+ languages across the globe. By bringing together proven expertise, deep understanding, and strategic foresight for fast-growing industries, Aprio ensures clients are prepared for wherever life or business may take them. Discover a top-rated culture, vast growth opportunities and your next big career move with 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.

• 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.

• 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.

Why work for Aprio:

Whether you are just starting out, looking to advance into management or searching for your next leadership role, Aprio offers an opportunity to grow with a future-focused, innovative firm.

Perks/Benefits we offer for full-time team members:

- Medical, Dental, and Vision Insurance on the first day of employment

- Flexible Spending Account and Dependent Care Account

- 401k with Profit Sharing

- 9+ holidays and discretionary time off structure

- Parental Leave – coverage for both primary and secondary caregivers

- Tuition Assistance Program and CPA support program with cash incentive upon completion

- Discretionary incentive compensation based on firm, group and individual performance

- Incentive compensation related to origination of new client sales

- Top rated wellness program

- Flexible working environment including remote and hybrid options

What’s in it for you:

- Working with an industry leader: Be part of a high-growth firm that is passionate for what’s next.

- An awesome culture: Thirty-one fundamental behaviors guide our culture every day ensuring we always deliver an exceptional team-member and client experience.  We call it the Aprio Way.  This shared mindset creates lasting relationships between team members and with clients.

- A great team: Work with a high-energy, passionate, caring and ambitious team of professionals in a collaborative culture.

- Entrepreneurship: Have the freedom to innovate and bring your ideas to help us grow to become the CPA firm of choice nationally.

- Growth opportunities: Grow professionally in an environment that fosters continuous learning and advancement.

- Competitive compensation: You will be rewarded with competitive compensation, industry-leading benefits and a flexible work environment to enjoy work/life balance.

EQUAL OPPORTUNITY EMPLOYER

Aprio is an Equal Opportunity Employer encouraging diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race; color; religion; national origin; sex; pregnancy; sexual orientation; gender identity and/or expression; age; disability; genetic information, citizenship status; military service obligations or any other category protected by applicable federal, state, or local law.

Aprio, LLP and Aprio Advisory Group, LLC, operate in an alternative business structure, with Aprio Advisory Group, LLC providing non-attest tax and consulting services, and Aprio, LLP providing CPA firm services.