Chief Compliance Officer

Chief Compliance Officer (CCO)/ General Counsel (GC)HYBRID ROLE Procyon is a vibrant and growing wealth management platform comprised of a Registered Investment Advisor (RIA), Benefits, Tax and Risk practices. As a wealth management firm, we currently have fifty plus people taking care of 1,500 clients and entrusted with over $8 Billion of client wealth. We are seeking a proactive and hands-on Chief Compliance Officer (CCO) & General Counsel (GC) to lead and scale our compliance and legal functions in a growing financial services environment. In this executive role, you will build, manage, and enforce our regulatory compliance program to meet all legal, ethical, and industry obligations – especially in an environment where roles are lean and responsibilities are dynamic. Additionally, as our legal counsel, you will provide legal advice on corporate governance, contracts, and regulatory matters. This is a both a highly strategic and operational role suited for someone who can lead policy, ensure execution, and comfortably collaborate across a small, agile team. Ideal candidates will reflect our firm’s personality traits and will be: Passionate - We show up with energy & enthusiasm every day. Driven - We work tirelessly to achieve exceptional outcomes. Approachable - We always make sure people feel welcome. Candid - We tell it like it is in language you will understand. Caring - We have your back. CCO Key Responsibilities Design, implement, and maintain the firm's compliance program, policies, and internal controls including development and enforcement of policies to protect sensitive client and firm data. Monitor regulatory requirements (e.g., SEC, FINRA, CFPB, BSA/AML, KYC) and ensure the firm remains in full compliance. Ensure compliance with privacy regulations, such as the Gramm-Leach-Bliley Act (GLBA), privacy requirements and disclosures, and cybersecurity guidelines from the SEC. Act as the primary liaison with regulators, auditors, and legal counsel for all compliance matters. Perform and oversee compliance testing, risk assessments, and internal audits tailored to a small firm’s operational structure. Lead investigations and corrective actions in response to policy breaches or regulatory findings. Develop and deliver compliance training across the organization; create a culture of ethical awareness and accountability. Partner closely with executives and product teams to review new services and offerings from a regulatory standpoint. Maintain all required documentation, filings, and disclosures in a timely and accurate manner. Serve as a strategic advisor to the executive team on all compliance and risk-related issues. Manage or build a small compliance team as the company scales. GC Key Responsibilities Draft, review, and negotiate contracts with clients, vendors, and partners. Oversee the firm’s response to legal disputes, litigation, or investigations. Ensure compliance with tax and accounting laws applicable to client services and internal operations. Identify and mitigate legal risks associated with the firm's operations and services. Assist with M&A agreements and contract reviews. Provide legal advice on corporate governance, contracts, and regulatory matters. What you need to have Bachelor’s degree in finance, Law, Business, or a related field; JD or advanced degree is a strong plus. 7–10+ years of experience in compliance roles within financial services, with prior leadership responsibility. Strong familiarity with U.S. regulatory frameworks, including SEC, FINRA, AML/BSA, and consumer finance laws. Experience in a startup, small firm, or fast-growth environment is preferred. Strong communication skills, ability to work independently, and confidence interfacing with regulators and leadership, with the ability to clearly explain regulatory concepts to both internal and external stakeholders. Demonstrated ability to build programs from scratch and adapt them as the company grows Why work at Procyon? Procyon was designed from the ground up to be an excellent home for our clients and employees. We work hard for our clients but also want Procyon to be a great place to work. We currently follow a hybrid work schedule, allowing employees to work from home on Mondays and Fridays and come into an office on Tues-Thurs for meetings, training, and ideas sharing better done in person. We have fun Procyon events regularly to maintain our great culture. We encourage lifelong learning and with approval, will also reimburse high performing employees for pursuing approved advanced designations. As a growing firm there is an opportunity for anyone to join and make a difference right away and find new challenges as you learn and grow along with the firm. Since our founding almost eight years ago we have worked with Dynasty Financial Partners and in 2025 we received a strategic investment from RIA expert Constellation Wealth Capital. Both partnerships provide synthetic scale and help support our growth. We pay a competitive salary and an annual discretionary bonus for this role. In addition, the annual bonus is subject to a firm multiplier to reward employees for the firm’s overall performance. Our benefits package is competitive with medical, dental, vision benefits, 401K match and four weeks’ vacation from the start. We follow the NYSE holiday schedule. The dress code is business casual with the occasional suit or equivalent needed for client meetings. We currently focus on the US east coast and have two larger offices in Shelton, CT and Melville, NY and smaller offices in Glastonbury, CT, Manhattan, NY, Virginia Beach, VA, Fulton, MD, Knoxville, TN and West Palm Beach, FL. What to expect in the hiring process 1.Initial Application: We will review applicants on a rolling basis. 2.For advancing applicants, a video conference will be conducted to learn more about you. 3.Candidates that advance will then do a second video conference with a larger pool of the hiring group from Procyon. 4.Finalists will be invited in for several hours of in-person interviews with multiple team members. In addition, we may request some homework and a sample of your work product. 5.While we are ready to hire immediately, the position will remain open until we find the ideal candidate for this critical role. Seniority level Seniority level Executive Employment type Employment type Full-time Job function Job function Legal Referrals increase your chances of interviewing at Procyon by 2x Sign in to set job alerts for “Chief Compliance Officer” roles. Westport, CT $75,000.00-$100,000.00 5 months ago Fairfield County, CT $100,000.00-$115,000.00 1 week ago Hamden, CT $80,000.00-$95,000.00 3 weeks ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr