Chief Compliance Officer

Clareos is building an AI-powered wealth advisor registered as an investment advisor. We need a compliance leader who can architect the regulatory framework from day one. This is a foundational hire. You won't be maintaining someone else's compliance program, you'll be creating ours. You'll work directly with the founding team to make sure every product decision, every algorithm, and every client interaction meets the highest regulatory standards.

• Design and implement the firm's compliance program for SEC/state RIA registration
• Develop policies and procedures for AI-driven investment advisory services
• Oversee regulatory filings, including Form ADV and ongoing reporting obligations
• Build the compliance monitoring framework for algorithmic portfolio management
• Advise the product team on regulatory implications of new features
• Manage relationships with regulators and respond to examinations
• Establish client suitability and KYC processes
• Create training programs for the team on compliance obligations

• 7+ years of compliance experience in wealth management or investment advisory
• Deep knowledge of the Investment Advisers Act of 1940 and SEC regulations
• Experience with RIA registration and Form ADV preparation
• Understanding of fiduciary duty requirements
• Experience building or significantly overhauling a compliance program
• Strong judgment on regulatory risk in ambiguous situations

• Experience with robo-advisors or algorithmic investment platforms
• Familiarity with emerging AI/ML regulatory guidance (SEC, FINRA, state regulators)
• IACCP or similar compliance certification
• Experience at an early-stage fintech or startup
• Background in both broker-dealer and RIA compliance