Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)
$180,000–$260,000 year
RemoteUnited States or San Francisco, California, United States
Job Summary
Build and scale the compliance program for your assigned entity, either the broker-dealer or RIA, by maintaining written supervisory procedures and evolving compliance manuals. Serve as the primary liaison with FINRA, the SEC, and state regulators to manage exams, inquiries, and filings. Design and oversee supervisory systems across trading, communications, and account activity, while owning the account opening, KYC, and AML frameworks including suspicious activity monitoring. Review marketing materials and customer communications for regulatory compliance, and draft policies as new products launch. Partner cross-functionally with Operations, Legal, Product, and Engineering to ensure the firm operates within regulatory requirements while moving at startup speed. Build and lead compliance training programs, conduct ongoing risk assessments, and support annual audits. Collaborate closely with the other CCO to ensure consistent standards and clean handoffs between the two entities.
Required Qualifications
- Active FINRA Series 7 and Series 24 licenses required for BD
- Significant experience working with both or either Registered Investment Advisors (RIAs) or Broker-Dealers (BDs), with a deep understanding of the regulatory frameworks governing each
- A track record of building and scaling compliance programs, ideally at a technology-driven or fintech firm
- Prior experience serving as a CCO, or in senior compliance leadership, at a broker-dealer and/or RIA
- Strong working knowledge of FINRA, SEC, and state regulatory requirements
- Excellent written and verbal communication skills, with the ability to work cross-functionally across compliance, operations, legal, product, and engineering
- Comfort partnering closely with a fellow senior compliance leader to divide ownership and keep both entities' compliance programs aligned
- Comfort with the ambiguity and pace of an early-stage company — you're happy to build programs and processes that don't have a playbook yet
Desired Qualifications
- A Juris Doctorate (JD) or other advanced degree preferred
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