Consultant - Chief Compliance Officer (Fractional/Contract Role)

Arootah is a rapidly growing advisory and coaching firm specializing in Alternative Investment & Family Office Advisory, Executive & Leadership Coaching, and Talent Acquisition & Development. Founded by Rich Bello, co-founder and COO of Blue Ridge Capital, Arootah leverages deep industry expertise to drive peak performance for executives, teams, and firms across the alternative investments landscape. 

Join Arootah’s Network of Business Advisors serving Arootah’s clients on a project basis in the alternative investment industry, including hedge funds, private equity firms, and family offices. Our mission is to deliver top-tier business advisory services tailored to the multifaceted needs of the alternative investments landscape. As part of the network, you will take on project-based assignments that let you apply your expertise directly to our client initiatives. These consulting roles provide the opportunity to work on varied and impactful projects across the alternative investments industry. 

Our Services Include: 

Advising alternative investment managers with front-to-back office services, including but not limited to operations, business development strategy, due diligence, human resources, and compliance  

Providing fractional expert advisors in key operational areas for emerging and established investment firms 

Offering executive, life, health, and career coaching for individuals 

Delivering talent acquisition and leadership development solutions 

Developing SaaS applications for enterprise and consumer use 

Visit us at https://arootah.com/advisoryfor more information. 

WHO YOU ARE: 

Arootah is searching for Alternative Asset Firm and Family Office Chief Compliance Officers to advise clients on industry best practices. As a Compliance Consultant, you will work with our Alternative Asst Firm and Family Office clients to provide expert advice.  Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a full compliance program for a leading Alternative Asset Firm or Family Office.   

• 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. 

• Bachelor's Degree in Finance, Business Administration, Accounting, Law, or related field required. JD, MBA, or advanced degree strongly preferred. 
• 7+ years as Chief Compliance Officer at an SEC-registered investment adviser, hedge fund, private equity firm, family office, or broker-dealer. 
• Experience completing SEC audits and examinations 
• Extensive knowledge of SEC, FINRA, and CFTC regulations for registered investment advisers, including the Investment Advisers Act of 1940, custody rules, marketing rules, and private fund regulations. 
• Proven experience managing SEC, FINRA, or state regulatory examinations, including successful navigation of exam processes and implementation of remediation plans. 
• Hands-on experience building compliance programs for alternative asset firms across multiple investment strategies and operational areas including trade surveillance, personal trading, AML/KYC, and conflicts management. 
• Exceptional communication abilities, including experience training staff, presenting to boards, and serving as regulatory liaison. 
• Experience with compliance technology including monitoring platforms, document management systems, and regulatory filing software. 

• Contractor
• Hours are based on the needs of the assigned client (0-40 hours per week). 

Join a well-funded disruptor in finance and technology. 

Enjoy the flexibility of remote work and choosing your assignments. 

Be part of a dynamic, high-energy company in its expansion stage. Now is the time to join! 

For more information, visit us at Arootah.com.