Chief Compliance Officer

Freestone is building the digitally integrated wealth services firm of the future. We believe making a difference happens by focusing on what truly matters to our clients. If you are passionate about helping people and serving a greater purpose in life and work, Freestone is the home for you.

We are an independent wealth advisor to select families with offices in Seattle, San Francisco, and Santa Barbara. We provide a personalized experience combining rational, intelligent advice and sophisticated investment strategies, delivered via beautiful technology.

We live our values of collaboration, commitment and continuous improvement every day and welcome new Freestoners to join us.

The Opportunity:

We are seeking an exceptional teammate to join us as our Chief Compliance Officer. You will report directly to our General Counsel and be our regulatory compliance expert. This is a hands-on position. You will own all aspects of our compliance program, and work closely with our General Counsel and executive team to develop and implement your strategic vision for compliance across our diverse business.

We are flexible regarding location. We are open to you joining us in Seattle or San Francisco.

Key Responsibilities:

  • Promote and maintain a culture of compliance centered around our three key principals: (1) Clients Come First; (2) Do the Right Thing; (3) Comply with Laws

  • Lead and manage our internal and external compliance resources, including our relationship with ACA Group

  • Advise firmwide on a wide variety of regulatory matters, including investment management, strategic partnerships, and private fund management

  • Conduct risk assessments and implement risk mitigation strategies across multiple disciplines (e.g., contracts, data privacy, regulatory reporting, operational and trading systems)

  • Design and monitor testing systems to ensure the efficacy of controls and surveillance programs

  • Review proposed business lines and products from a compliance perspective

  • Draft and implement our code of ethics and compliance policies and procedures

  • Prepare for and manage regulatory exams, regulatory inquiries, subpoenas and other legal and regulatory matters

  • Oversee our conflicts management process, including periodic review and update of conflicts management procedures

  • Devise and conduct employee training, including training on insider trading, custody and conflicts of interest

  • Review marketing materials and investor/client communications to ensure compliance with laws and regulations

  • Prepare and oversee regulatory filings (Form ADV, Form PF, Forms 13F and 13H, and Schedule 13)

Your Experience:

  • Bachelor’s Degree

  • 10+ years of senior investment adviser compliance experience

  • Experience at the SEC or a national compliance consulting firm is a material plus

  • Substantial separate account and private fund experience

  • Strong understanding of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and US securities laws

  • Experience with ERISA and the prohibited transactions rules of the Internal Revenue Code

Your Competencies:

  • Excel working independently with little operational or execution oversight

  • Comfortable tackling compliance questions from the most senior to the most junior teammates

  • High capacity for strategic thought and the ability to solve complex problems

  • Strong business acumen, balancing the firm’s safety with its persistent focus on growth

  • Identify business needs, problems and risks proactively

  • Commit to action after developing alternative solutions that are based on logical assumptions and factual information

  • Vision to identify and drive process improvement, standardization and automation

  • Strong interpersonal skills and the gravitas to serve as a trusted resource throughout the firm

  • Solid planning, organizational, project management and communication skills

  • Ability to handle highly sensitive matters at all levels of the firm with discretion and confidentiality

  • Comfortable anticipating and reacting quickly to the evolving financial services regulatory environment

Your Characteristics:

  • Unquestioned integrity and unwavering courage of conviction

  • Strong intellect and appropriate self-confidence

  • Capacity and passion for being part of a fast-growing firm

  • Team oriented with the ability to build relationships and earn the respect of others

  • Heightened attention to detail – must be meticulous and consistently accurate

  • Hardworking, motivated, proactive and results oriented

Freestone is an equal opportunity employer. All candidates will be recruited and, if applicable, selected and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law. 

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