Vice President of Compliance

About the role

Come build what the market has been missing. Octaura is a technology company transforming how some of the world’s largest, least digitized markets operate. In loans and CLOs, trillions of dollars still move through phones, emails, and PDFs because the right infrastructure hasn’t existed — until now. We’re applying AI, real-time data, and modern software design to asset classes long overlooked by fintech. Our platforms turn fragmented information into intelligence, manual workflows into automation, and legacy conventions into scalable market infrastructure. You’ll join a high-impact, collaborative team building the systems these markets need to become more transparent, efficient, and connected.

Octaura is seeking a commercially minded Head of Compliance to lead compliance as the business enters its next phase of growth. The VP of Compliance will protect the firm and its clients while helping leadership pursue well-informed, responsible commercial opportunities. This is a hands-on role and Octaura’s primary compliance authority. The VP of Compliance will own the framework supporting the U.S. institutional broker-dealer and develop proportionate governance for an expanding technology and data business. Working with the CEO and executive team, the VP of Compliance will identify and escalate material risks and embed compliance into products, processes and commercial decisions. Building on an established foundation, they will continuously look for ways to simplify, strengthen and automate controls as the organisation scales.

Responsibilities

• Serve as designated Chief Compliance Officer for Octaura’s U.S. institutional broker-dealer, ensuring compliance with FINRA, SEC and applicable federal and state requirements.
• Advise the executive team, balancing regulatory obligations with commercial objectives and escalating material risks clearly and promptly.
• Own and continuously improve the compliance programme, including policies, written supervisory procedures, risk assessments, annual testing, control evidence and regulatory reporting.
• Lead employee and personnel compliance, including registrations, licensing, outside business activities, personal trading, attestations, gifts and entertainment, training, recordkeeping and FINRA Gateway administration.
• Own the AML programme, including risk assessments, customer and