Chief Compliance Officer

Full‑time Dallas‑Fort Worth, TX (Remote within Texas) About Summr Capital Management Summr 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 Role We’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 Do Lead compliance operations including policy development, procedure documentation, and compliance monitoring across all firm activities. Manage SEC and FINRA compliance including Form ADV filings, Rule 206(4)-7 compliance reviews, and regulatory examinations. Build and oversee compliance systems including trading surveillance, personal trading oversight, conflicts of interest management, and document retention. Develop and enforce policies covering client communications, advertising, insider trading, and ethical conduct. Manage regulatory relationships with SEC, FINRA, and state regulators—responding to inquiries and maintaining examination readiness. Drive risk management and controls including operational risk, market conduct risk, and cybersecurity compliance. Oversee anti‑money laundering (AML) and know‑your‑client (KYC) programs. Build and mentor a compliance team as the firm scales. Advise senior management and the board on regulatory and compliance matters. Skills & Experience 10+ years of compliance, regulatory, or risk management experience in investment management, hedge funds, or RIA environments. Deep expertise in SEC and FINRA regulations, Form ADV compliance, and RIA governance. Proven track record leading compliance programs and managing regulatory examinations. Strong understanding of investment operations, trading, and fund administration. Excellent documentation and policy development capabilities. Ability to translate complex regulations into operational controls. Bachelor’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 available. Licensing Requirements State Life & Health License SIE (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 & Development FINRA sponsorship for any required licensing. Direct mentorship from founding team. Ongoing professional development opportunities. Access to compliance networks and regulatory resources. Compensation & Benefits Competitive base salary commensurate with experience. Performance‑based bonus aligned with firm growth and compliance metrics. Partnership 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 insurance. Transportation reimbursement incentive program (TRIP). Probationary Period & Partnership Path The 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 Culture We’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. #J-18808-Ljbffr Summr