Director of Compliance (Part Time)

Director of Compliance (Part-Time)

Charter Oak Capital Management

Portsmouth, NH

Join Our Team at Charter Oak Capital Management!

At Charter Oak Capital Management, we don’t just manage wealth—we build lasting relationships and financial success with our clients. With 25 years of operations and over $1.2 billion in assets under management, we are a trusted fiduciary to high-net-worth and mass-affluent clients across New England and beyond. With locations in Portsmouth NH and Kennebunk ME, our team culture is collaborative, supportive, and committed to achieving success together.  

What We’re Looking For:

We are seeking a highly skilled and experienced Director of Compliance to join our team in a part-time leadership capacity. This position plays a pivotal role in ensuring the firm adheres to all applicable regulatory requirements while fostering a strong culture of integrity and risk management.

The ideal candidate brings deep experience in investment advisory compliance, a proactive approach to regulation and risk, and a collaborative leadership style. This is a strategic, high-impact role with a shortened schedule, perfect for an established compliance professional seeking meaningful part-time work.

What You’ll Be Doing:

• Regulatory Oversight: Ensure compliance with all relevant regulations, including the Investment Advisers Act, SEC, and FINRA. Manage all regulatory filings, including Form ADV. Monitor industry best practices and evolving industry regulations.
• Risk Management & Policy Enforcement: Identify, assess, and mitigate compliance risks. Develop, implement, and maintain compliance policies and procedures.
• Internal Monitoring & Training: Conduct regular audits and internal reviews. Provide ongoing compliance training and education for staff and leadership.
• Client & Regulator Interaction: Act as a point of contact for regulators, auditors, and clients on compliance-related matters. Review client-facing materials and ensure fiduciary standards are met.
• Strategic Leadership: Advise senior leadership on compliance strategy. Collaborate with legal, operations, and investment teams to support a culture of ethical conduct and compliance across the firm.

What You Bring:

• Minimum of 8 years of experience in compliance within the investment advisory industry, with 3 years in a leadership or senior compliance role, ideally with a registered investment adviser (RIA)
• Bachelor’s degree in Finance, Accounting, Business, or a related field. JD, MBA, or advanced degree in finance is a plus. IACCP certification or other relevant credentials preferred
• In-depth understanding of the Investment Advisers Act of 1940, SEC/FINRA rules and regulations, and fiduciary obligations.
• Proven success managing regulatory audits, filings, and interactions with regulators.
• Strong background in policy development, risk assessment, and compliance monitoring.
• Excellent communication and leadership skills with the ability to promote a culture of integrity and compliance. 
• Experience with compliance software/tools is a plus

What We Offer:

• Competitive compensation, commensurate with experience
• 401(k) with company match
• Flexible part-time schedule
• Strategic, high-impact role within a mission-driven firm
• Opportunity to shape and lead the compliance function
• Collaborative team environment
• Daily lunch provided in-office
• Generous paid time off policy and 11 paid market holidays

Ready to Apply?

Please submit your application via LinkedIn, including your resume and optional cover letter. We are committed to reviewing all applications promptly and look forward to connecting with candidates who share our vision of excellence.

Join us at Charter Oak Capital Management—where your passion for compliance will thrive in a supportive, welcoming environment!