What are the responsibilities and job description for the Fractional Chief Compliance Officer (CCO) position at Asgard Regulatory Group, LLC?
Job Title: Fractional Chief Compliance Officer (CCO)
Location: Remote / Hybrid (Location Flexibility)
Employment Type: Part-Time / Contract
Industry: Compliance, Risk Management, Regulatory Services
About Us
Asgard Regulatory Group is a fast-growing compliance services firm dedicated to helping regulated businesses navigate the complex world of compliance, risk, and governance. We pride ourselves on providing expert, customized compliance solutions that mitigate risk and support sustainable growth.
We are seeking a highly organized and detail-oriented Fractional Chief Compliance Officer (CCO) to join our consulting firm on Long Island and support our clients with expert-level compliance leadership on a part-time or project basis.
Role Summary
As a Fractional CCO, you will serve as the primary compliance advisor for one or more client organizations. You will help design, implement, and manage regulatory compliance programs, respond to regulatory inquiries, conduct risk assessments, and provide strategic guidance to ensure clients meet ongoing regulatory requirements.
Key Responsibilities
- Serve as the designated Chief Compliance Officer for client organizations (as needed)
- Develop, implement, and maintain compliance programs tailored to industry regulations (e.g., SEC, FINRA, FCA)
- Conduct risk assessments and compliance audits
- Provide regulatory guidance and interpret evolving compliance standards
- Prepare for and assist with regulatory examinations and filings
- Train client staff on compliance policies, procedures, and best practices
- Report to executive leadership or boards on compliance posture and risks
- Collaborate with legal counsel, auditors, and regulatory bodies when needed
Qualifications
- Proven experience as a CCO, Deputy CCO, or senior compliance professional
- Deep knowledge of regulatory frameworks relevant to target industries (e.g., investment advisory, broker-dealer, fintech, healthcare)
- Minimum 10 years of experience in compliance, legal, or risk management roles
- Strong understanding of U.S. regulatory bodies such as SEC, FINRA, CFPB, HHS, or similar
- Excellent written, verbal communication, analytical, and leadership skills
- Series 7 and 24 required and/or other relevant licenses;
- Experience working in a fractional, consulting, or outsourced model is strongly preferred
- Undergraduate degree required;
- Experience with compliance program development;
- Independent self-starter and ability to work with teammates;
- Previous consulting experience preferred.
What We Offer
- Flexible, remote-first work environment
- Opportunity to work with a variety of dynamic and innovative clients
- Competitive hourly/project-based compensation
- Salary Range: $150,000-$175,000
Salary : $150,000 - $175,000
