Chief Compliance Officer

Procyon is a vibrant and growing wealth management platform comprised of a Registered Investment Advisor (RIA), Benefits, Tax and Risk practices. As a wealth management firm, we currently have fifty plus people taking care of 1,500 clients and entrusted with over $8 Billion of client wealth.

Overview

We are seeking a proactive and hands-on Chief Compliance Officer (CCO) & General Counsel (GC) to lead and scale our compliance and legal functions in a growing financial services environment. In this executive role, you will build, manage, and enforce our regulatory compliance program to meet all legal, ethical, and industry obligations. Additionally, as our legal counsel, you will provide legal advice on corporate governance, contracts, and regulatory matters. This is a both a highly strategic and operational role suited for someone who can lead policy, ensure execution, and collaborate across a small, agile team.

Ideal candidates will reflect our firm’s personality traits and will be :

• Passionate - We show up with energy & enthusiasm every day.
• Driven - We work tirelessly to achieve exceptional outcomes.
• Approachable - We always make sure people feel welcome.
• Candid - We tell it like it is in language you will understand.
• Caring - We have your back.

CCO Key Responsibilities

GC Key Responsibilities

What you need to have

Why work at Procyon?

Procyon was designed from the ground up to be an excellent home for our clients and employees. We work hard for our clients but also want Procyon to be a great place to work. We currently follow a hybrid work schedule, allowing employees to work from home on Mondays and Fridays and come into an office on Tues-Thurs for meetings, training, and ideas sharing better done in person. We have fun Procyon events regularly to maintain our great culture. We encourage lifelong learning and with approval, will also reimburse high performing employees for pursuing approved advanced designations.

As a growing firm there is an opportunity for anyone to join and make a difference right away and find new challenges as you learn and grow along with the firm. Since our founding almost eight years ago we have worked with Dynasty Financial Partners and in 2025 we received a strategic investment from RIA expert Constellation Wealth Capital. Both partnerships provide synthetic scale and help support our growth.

We pay a competitive salary and an annual discretionary bonus for this role. In addition, the annual bonus is subject to a firm multiplier to reward employees for the firm’s overall performance.

Our benefits package is competitive with medical, dental, vision benefits, 401K match and four weeks’ vacation from the start. We follow the NYSE holiday schedule. The dress code is business casual with the occasional suit or equivalent needed for client meetings.

We currently focus on the US east coast and have two larger offices in Shelton, CT and Melville, NY and smaller offices in Glastonbury, CT, Manhattan, NY, Virginia Beach, VA, Fulton, MD, Knoxville, TN and West Palm Beach, FL.

What to expect in the hiring process

Seniority level

Employment type

Job function

#J-18808-Ljbffr