Summr Capital Management is a multi-strategy quantitative hedge fund that blends systematic trading, deep data research, and institutional-grade infrastructure. We operate with the urgency of a fintech start-up and the governance standards of a global asset manager. As we close Tranche I of our inaugural raise, we’re scaling rapidly across public-market, treasury-yield, and digital-asset strategies.

The Opportunity

We need a builder-operator who can:

Architect a 0 → 1 compliance and enterprise-risk program today.
Scale that framework into an institutional platform as AUM moves into the billions.
Evolve into a senior partner who shapes strategy, risk culture, and governance for the long haul.

If you thrive on growth, ownership, and cross-functional collaboration with quants, engineers, and investors, this is your seat.

Key Responsibilities

Strategic Leadership

Serve as designated CFO for SEC registration (and future CFTC/NFA filings).
Advise leadership on regulatory strategy as we expand products—Treasury Yield Solution, digital assets, SMAs.
Provide independent risk and compliance reporting to the Board and LP Advisory Committee.
Draft and implement all policies: Code of Ethics, Personal Trading, AML/KYC, Model Risk, Cybersecurity, Vendor Diligence, Valuation, Marketing.
Stand up Form ADV, Form PF, 13F/13D/13G pipelines and state Blue-Sky filings.
Select and configure a RegTech stack for surveillance, attestations, and ERM dashboards.
Transition from founder-run controls to full governance: Board committees, third-party audits, SOC 1/2 reviews.
Enhance enterprise-risk management—KRIs, stress testing, scenario analysis, liquidity, counterparty, and model risk.
Lead regulatory exams, mock exams, and remediation.
Long-Term Evolution (Year 3+)
Mentor and grow a compliance/risk team as headcount increases.
Represent Summr in regulator meetings, investor due-diligence sessions, and industry forums.
Partner with Investor Relations to review marketing and, if licensed, oversee fundraising-related activities while maintaining independence.

Qualifications and Experience

Experience

10+ years in compliance, legal, or risk at banks, broker-dealers, or hedge/PE funds—at least 3 years leading teams.
Demonstrated success building or revamping a compliance program in a high-growth or start-up setting.
Hands-on familiarity with quant/algo trading oversight.

Regulatory & Filing Expertise

Deep knowledge of the ’40 Act, Advisers Act, ’33/’34 Acts, Reg D 506(c), CFTC Part 4, Blue-Sky, and AML/BSA.
Direct experience managing SEC/NFA/FINRA exams and filings (ADV, PF, 13F/G/D).

Mandatory FINRA Licenses

Series 24 (General Principal) — current.
Series 7 and 66 (or 63 + 65) — evidencing capital-markets fluency.
Ability to maintain registrations with an affiliated or third-party broker-dealer if involved in fundraising oversight.

Risk & Compliance Certifications

At least one of: FRM, CRCMP, CAMS, CRCP, CERP, CISSP, CISO, or equivalent.
Commitment to ongoing continuing-education requirements.

Education & Mindset

JD, MBA, or Master’s in Finance preferred; Bachelor’s required.
Start-up agility, bias for action, resourcefulness, and exceptional written and verbal communication.

12 month success criteria

Compliance & ERM platform live and fully documented.
Clean mock SEC exam with no material deficiencies.
Automated trade and marketing-approval monitoring integrated with OMS/EMS and CRM.
Quarterly Board dashboards featuring actionable KRIs/KPIs.
100 % staff policy-training completion and zero critical incidents.

Growth Plan

Year 1: Single point of accountability for compliance and risk.
Year 2-3: Hire and lead a small compliance/risk team; deepen auditor and vendor relationships.
Year 3-5: Earn an Executive Committee seat; influence new product launches and global regulatory expansions.

Summr Capital Management is an equal-opportunity employer. We celebrate diversity and are committed to building an inclusive team. Employment is contingent on background, reference, and license verification.

Summr Capital Management

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