Chief Compliance Officer

Full-time Dallas-Fort Worth, TX (Remote within Texas) Summr Capital Management

About Summr Capital ManagementSummr Capital Management is a systematic investment manager and RIA operating at the intersection of data-driven strategy and institutional execution. We serve institutional clients across U.S. equities, macro, and alternative assets through proprietary AI-enabled research and portfolio construction. We believe in integrity, innovation, and excellence—delivering measurable results while maintaining the highest ethical standards.The RoleWe're seeking an experienced Chief Compliance Officer to lead all regulatory compliance, risk management, and governance for Summr Capital Management. Reporting to the founding team, you'll build and oversee compliance infrastructure, regulatory frameworks, policies and procedures, and controls for a growing systematic investment manager and RIA. This is a partnership-track role with a clear path to equity ownership following a successful 90-day probationary period.What You'll DoLead compliance operations including policy development, procedure documentation, and compliance monitoring across all firm activitiesManage SEC and FINRA compliance including Form ADV filings, Rule 206(4)-7 compliance reviews, and regulatory examinationsBuild and oversee compliance systems including trading surveillance, personal trading oversight, conflicts of interest management, and document retentionDevelop and enforce policies covering client communications, advertising, insider trading, and ethical conductManage regulatory relationships including SEC, FINRA, and state regulators—responding to inquiries and maintaining examination readinessDrive risk management and controls including operational risk, market conduct risk, and cybersecurity complianceOversee anti-money laundering (AML) and know-your-client (KYC) programsBuild and mentor a compliance team as the firm scalesAdvise senior management and the board on regulatory and compliance mattersSkills & Experience10+ years of compliance, regulatory, or risk management experience in investment management, hedge funds, or RIA environmentsDeep expertise in SEC and FINRA regulations, Form ADV compliance, and RIA governanceProven track record leading compliance programs and managing regulatory examinationsStrong understanding of investment operations, trading, and fund administrationExcellent documentation and policy development capabilitiesAbility to translate complex regulations into operational controlsBachelor's degree in Finance, Law, Business, or related field (law degree or compliance certification preferred)Authorized to work in the United States; no visa or FISA sponsorship availableLicensing RequirementsThe following FINRA and regulatory licenses are required:State Life & Health LicenseSIE (Securities Industry Essentials)Series 24 (General Securities Principal)Series 63 (Uniform Securities Agent State Law Examination)Series 65 (Uniform Investment Adviser Law Examination)Series 82 (Private Securities Offerings Representative)Training & DevelopmentFINRA sponsorship for any required licensingDirect mentorship from founding teamOngoing professional development opportunitiesAccess to compliance networks and regulatory resourcesCompensation & BenefitsCompetitive base salary commensurate with experiencePerformance-based bonus aligned with firm growth and compliance metricsPartnership track: Equity ownership opportunity following successful 90-day probationary period (contingent on performance and cultural fit)Comprehensive benefits package: health, dental, vision, 401(k), ESPP, disability, life insuranceTransportation reimbursement incentive program (TRIP)Probationary Period & Partnership PathThe first 90 days are a mutual evaluation period. During this time, you'll demonstrate your ability to build compliance infrastructure, implement effective controls, and establish a strong compliance culture. Upon successful completion—meeting operational and performance expectations—you'll be inducted as a partner in Summr Capital Management, with equity participation in firm profits and governance involvement.Our CultureWe're a collaborative team driven by curiosity and execution. We value integrity in every interaction, transparency in our processes, and results that exceed expectations. We invest in people who are committed to building world-class compliance infrastructure and maintaining the highest ethical standards in systematic asset management.