The Chief Compliance Officer and General Counsel will lead legal and compliance functions in a fast-paced, RIA-focused environment. Reporting to the CEO, they will oversee regulatory compliance, risk management, corporate governance, and legal strategy, ensuring adherence to SEC, FINRA, and insurance regulations. Key responsibilities include designing compliance programs, monitoring regulatory changes, managing legal matters and corporate governance, addressing data privacy and litigation risks, and collaborating with leadership to develop policies. They will build and lead a compliance team, support product development, and foster a culture of integrity. Qualifications include a J.D., 10+ years of legal experience in financial services, and expertise in SEC/FINRA regulations, AML, and insurance laws. The role offers a competitive compensation package, flexible work arrangements, and a collaborative culture focused on innovation and growth.