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General Counsel/Chief Compliance Officer $280K-$375K base plus bonus

Trajan Wealth LLC

Scottsdale, AZ

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JOB DETAILS
SKILLS
Advertising, Asset Management, Bar Membership, Broadcasting, Brokerage, Business Skills, Channel Strategies, Communication Skills, Continuous Improvement, Customer Relations, Direct Mail, Documentation, ERISA (Employee Retirement Income Security Act of 1974), Economics, Estate Planning, Expense Tracking, Federal Laws and Regulations, Fiduciary, Finance, Financial Services, Health Plan, Healthcare, Information/Data Security (InfoSec), Interpret Regulations, Investment Services, Leadership, Legal, Maintain Compliance, Marketing, Mentoring, Mergers and Acquisitions, Microsoft Office, Monitor Regulations, Negotiation Skills, Preferred Provider Organization (PPO), Privacy Controls, Registered Investment Advisor (RIA), Regulations, Regulatory Compliance, Regulatory Submissions, Risk Management, Securities Law, Securities and Exchange Commission (SEC), Service Delivery, State Laws and Regulations, Team Lead/Manager, Time Management, Training/Teaching Curriculum, Wealth Management
LOCATION
Scottsdale, AZ
POSTED
2 days ago
About Trajan Wealth

With over $3 billion in assets under management and advisement, Trajan® Wealth is one of the fastest-growing Registered Investment Advisor firms in the country.

What sets us apart is our fully integrated, in-house model - combining fee-only wealth management, estate planning through Trajan Estate, and tax strategy through Trajan Tax.

We don't refer out critical components of a client's financial life. We bring them together under one fiduciary standard - the Family Office.

Role Overview

Trajan Wealth is seeking an accomplished senior executive to serve as General Counsel & Chief Compliance Officer (GC/CCO). This is a unique dual-function leadership role that serves as the firm's top legal and regulatory authority, providing integrated oversight of all legal, compliance, and risk management functions across Trajan Wealth, Trajan Estate, and Trajan Tax. The GC/CCO will be a trusted strategic partner to the executive team - protecting the firm through proactive legal counsel while ensuring the highest standards of regulatory compliance in support of the firm's continued growth.

Duties and Responsibilities
  • Serve as the firm's primary legal authority and chief compliance officer, providing unified leadership across all legal, regulatory, and risk management functions
  • Partner with executive leadership to provide strategic legal and compliance counsel on business initiatives, new products, acquisitions, and firm growth strategies
  • Design, implement, and continuously improve the firm's compliance program, including written supervisory procedures, annual review processes, and compliance training curriculum
  • Provide authoritative legal interpretation of federal and state securities laws, the Investment Advisers Act of 1940, ERISA, and applicable FINRA/SEC rules and guidance to all business units
  • Draft, review, and negotiate all material legal agreements including client advisory contracts, custodian agreements, vendor and technology contracts, partnership agreements, and M&A documentation
  • Serve as the primary liaison with the SEC, state regulators, and other regulatory bodies; lead preparation of regulatory filings including Form ADV, and manage all examinations, inquiries, and enforcement proceedings
  • Oversee and enforce the firm's fiduciary obligations across all client relationships; ensure advisory practices, fee structures, and disclosures fully align with the firm's fiduciary duty standard
  • Lead enterprise risk management, including identification, assessment, and mitigation of legal, regulatory, operational, and reputational risks across all three business entities
  • Manage selection, engagement, and oversight of outside counsel; control legal spend and ensure cost-effective legal service delivery across the organization
  • Oversee the firm's AML/BSA program, privacy and data security policies, insider trading policies, and codes of ethics across all personnel
  • Review, approve, and maintain oversight of all marketing and advertising materials across all channels - digital, broadcast, print, and direct mail - to ensure regulatory compliance and legal accuracy
  • Proactively monitor regulatory developments, legislative changes, and enforcement trends; advise leadership on impacts and lead timely policy and procedural updates
  • Drive a firm-wide culture of legal and ethical integrity; champion compliance awareness at all levels of the organization through training, communication, and leadership by example
  • Manage a team of 3 compliance professionals and an attorney.
Qualifications
  • Juris Doctor (J.D.) required; active bar membership in good standing required. An undergraduate degree in finance, economics, or a related field is strongly preferred.
  • 15+ years of combined legal and compliance experience, with significant in-house experience at a registered investment adviser, broker-dealer, bank, or financial services firm; prior SEC, FINRA, or state regulatory experience a strong plus
  • Deep, demonstrated expertise in the Investment Advisers Act of 1940, securities law, fiduciary standards, ERISA, and applicable state investment adviser statutes
  • Proven experience serving simultaneously as both General Counsel and CCO, or in senior roles with substantial responsibility across both disciplines
  • 7+ years of leadership experience managing legal and/or compliance teams, with a demonstrated ability to build, mentor, and develop high-performing departments
  • Track record of successfully managing regulatory examinations, enforcement matters, and relationships with the SEC, FINRA, and state regulators
  • Experience drafting and negotiating a broad range of commercial agreements, including investment advisory contracts, custodian agreements, and technology/vendor arrangements
  • Exceptional executive presence and communication skills; able to translate complex legal and regulatory concepts for board members, senior leadership, advisors, and staff at all levels
  • Strong business acumen with the ability to balance legal risk management against commercial opportunity; comfort operating as a strategic partner, not just a gatekeeper
  • High proficiency with Microsoft Office; familiarity with Schwab, Axos, or similar custodian and compliance platforms preferred
  • Thrives in a fast-paced, growth-oriented environment; comfortable building and scaling infrastructure in a firm that is rapidly expanding across multiple service lines
Benefits
  • $280,000 to $375,000 base salary plus performance bonus
  • 401(k) with a matching contribution up to 13%.
  • United Healthcare PPO medical coverage for employees, paid by the company.
  • Delta Dental PPO, United Healthcare Vision, Short Term Disability, Long Term Disability, Life Insurance, and many more voluntary options.
  • Generous holidays and PTO.


Come and join a team that is making a difference in their clients and employee's lives!

About the Company

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Trajan Wealth LLC