Hoxton Wealth

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description This role involves supporting and strengthening the US compliance function for an SEC-regulated wealth and investment business. - Maintain SEC regulatory compliance across the RIA - Oversee ongoing monitoring, testing, and surveillance activities - Support regulatory filings, including Form ADV updates and amendments - Manage and execute the compliance calendar - Provide real-time compliance advisory support to leadership and advisers - Identify and mitigate any transition-related risk gaps - Enhance policies, procedures, and compliance documentation - Strengthen testing and monitoring programmes - Support regulatory examinations and audits - Improve automation and scalability of compliance processes - Partner with legal, operations, and investment teams to embed compliance best practice Qualifications - 5–10+ years of SEC RIA compliance experience - Experience operating in a senior compliance role (Head, Deputy Head, or Senior Manager) - Strong working knowledge of: - Investment Advisers Act - Form ADV and regulatory filings - Code of Ethics - SEC Marketing Rule - Custody Rule - Books and records requirements - Experience supporting or managing regulatory examinations - Ability to operate effectively in a fast-growth environment - Pragmatic, hands-on approach to compliance Requirements - Experience in international wealth or cross-border firms - Relevant licences or credentials (e.g., Series 65/7) - Experience building or enhancing compliance infrastructure Success Measures (First 90 Days) - Seamless continuity of regulatory oversight - Compliance calendar stabilised and executed - Key risk areas identified and addressed - Clear roadmap developed for process improvement and scalability - Strong working relationship established with the Chief Compliance Officer and leadership team