Chief Compliance Officer

About Us

Verdara is an early-stage retirement startup building modern pooled employer plans and initiating SEC registration. We’re looking for a fractional Chief Compliance Officer (CCO) to develop and lead our compliance function.

This is a high-impact, hands-on executive-level role for someone who thrives in growing environments, is comfortable rolling up their sleeves, and understands how to balance regulatory rigor with business velocity.

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What You’ll Do

Oversee SEC/ERISA Compliance

• Oversee compliance obligations across SEC, ERISA, and DOL requirements applicable to being an Registered Investment Advisor that is marketing pooled employer plans.
• Design, implement, and maintain our full SEC compliance program, including policies, procedures, testing, and annual reviews.
• Serve as the firm’s compliance authority during and after SEC registration.

Guide SEC Registration & Ongoing Oversight

• Take over the current progress on and lead future aspects of preparation, filing, and maintenance of Form ADV and related disclosures.
• Monitor regulatory developments affecting PEPs, retirement plans, and investment advisers, and translate them into practical guidance.

Marketing & Communications Review

• Review and evaluate all marketing materials and external communications (website content, pitch decks, thought leadership, sales materials, etc.) for regulatory compliance.
• Manage the approval workflow with outside counsel when legal review is required.
• If serving as an attorney, directly provide legal review and sign-off where appropriate.

Risk, Governance & Advisory

• Advise founders and leadership on compliance risks, regulatory expectations, and product decisions.
• Identify, disclose, and manage conflicts of interest.
• Support internal controls, documentation, and compliance infrastructure as the company scales.

Regulatory Interface

• Act as the primary point of contact for regulators.
• Prepare the firm for SEC and/or DOL examinations and support responses as needed.

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What We’re Looking For

Required

• 10+ years of experience in financial services compliance, including direct experience with SEC-registered entities.

Deep knowledge of:

• ERISA and DOL regulatory requirements
• SEC investment adviser regulations
• Retirement plan and fiduciary frameworks
• Prior experience as a senior compliance leader.
• Experience building compliance programs in early-stage or growth companies.
• Ability to operate independently in a fast-moving startup environment.

Strong Plus

• Attorney (JD) with relevant regulatory or securities background.
• Experience with 401k and 403b pooled employer plans or retirement plan providers.
• Prior fractional, outsourced, or advisory CCO experience.

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Why This Role

• Shape compliance at the foundation of a venture-backed startup
• Executive visibility and real influence on product and go-to-market decisions
• Flexible, fractional structure with room to grow as the company scales
• Opportunity to help define best practices in a rapidly evolving PEP market

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Compensation

• Base monthly retainer with flexible hours paid above a monthly minimum

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How to Apply

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