Chief Compliance Officer

About the role

The CCO will lead and oversee our compliance programs for each of our RIA and Broker-Dealer entities. As a senior member of the team, you'll interact with regulators on behalf of both entities, and partner daily with founders, legal, product, engineering, trading, and portfolio management.

Responsibilities

• Expand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review.
• Maintain the effectiveness of established compliance processes and controls across the businesses, and recommend and implement enhancements.
• Provide effective risk assessment and management: proactively identify and assess inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
• Own surveillance and monitoring across both entities: own ongoing testing, employee oversight, pre-clearance, personal trading reviews, gifts and entertainment, and political contributions.
• Own new product and business review: clear new features, account types, and business lines before they go live, including owning relevant license applications to expand business lines and features.
• Partner with the platform to ensure it moves safely and in compliance with applicable laws, rules and regulations.
• Serve as the primary point of contact for the SEC and FINRA. Manage exams, respond to inquiries, and build credibility with regulators.
• Own firm-wide compliance training and culture: set the tone, build the training, and ensure compliance is embedded as a part of the firm’s DNA.
• Work side-by-side with engineers to turn rules into systems so compliance scales with the platform.
• Advisory role: advise the firm on applicable SEC and FINRA rules and regulations, including interpretive guidance.

Requirements

• You've been the CCO or Deputy CCO of an SEC-registered IA and/or Broker-Dealer.
• You're comfortable being hands-on at a startup: you write the policy and you implement it.
• You hold a Series 7, 24, 63 (or 66).
• You've managed SEC and/or FINRA examinations directly, from document requests through resolution.
• You have sound judgment under ambiguity with a bias for enabling the business safely.

Qualifications

• Fixed-income or wealth-tech background.
• Effectively scaled an RIA and/or BD compliance program.
• Built AI agents to scale compliance policies & procedures.

Skills

• Strong understanding of SEC and FINRA regulations.
• Experience in leading compliance programs.
• Ability to manage multiple projects simultaneously.
• Excellent communication and interpersonal skills.
• Proven ability to navigate complex regulatory environments.

Benefits

• Base salary: $260K to $290K
• Equity: Aggressive initial grant + annual performance-based bonuses
• Beautiful West Village Office with a terrace
• Free lunch and dinner when in-office
• $150 monthly gym/wellness stipend
• Health, dental, and vision coverage
• 100% company reimbursement

Pay

• Base salary: $260K to $290K

Schedule

• Onsite / Hybrid