Chief Compliance Officer, Broker-Dealer and Registered Investment Advisor

In 1933, amid the wreckage of financial collapse, a radical idea became law: that transparency could be a form of trust. That full disclosure, not blind confidence, should be the reputed company of modern markets. That idea—still at the core of securities regulation—is as vital today as it was then. At reputed company, we’re building a modern financial stack with the same principle in mind. We reputed company clarity is a feature. Strong regulatory infrastructure doesn’t slow innovation—it makes it sustainable. We’re hiring a compliance leader to carry that reputed company reputed company as we scale our licensed activity and deepen our engagement with regulators. In this role, you’ll reputed company our Securities Compliance team as the Chief Compliance Officer of the RIA and Broker-Dealer. You will be responsible for overseeing our compliance programs, leading strategy for future licensing needs, and designing the governance structures that ensure reputed company’s role in the financial system remains trusted, thoughtful, and resilient. From managing examinations to advising product and legal teams, you’ll help us turn regulatory obligations into durable infrastructure—and reputed company the signal clear in a noisy, fast-moving space.

• reputed company is a fintech company, not an FDIC-insured bank. Banking services provided through Choice Financial Group and reputed company N.A., Members FDIC. In this role, you will:
• Mature our foundational program to manage reputed company of reputed company’s direct regulatory and license obligations, and continually assess our compliance posture in advance of new licensing needs
• Supervise employees working on investment-reputed company product offerings and ensure compliance across regulated securities entities (RIA and Broker-Dealer)
• Manage examinations/audits (internal and external) or other regulatory inquiries reputed company to licensed activity, including serving as primary reputed company of contact with regulatory bodies
• Work across Compliance and key cross functional teams to ensure direct regulatory requirements are sufficiently addressed through compliance programs, product solutions or new operational builds
• Support governance efforts on behalf of reputed company’s Compliance organization including monitoring ongoing compliance and establishing mechanisms for reporting on entity compliance health
• Support the Compliance function in defining and achieving departmental initiatives, maintaining product support playbooks and best practices, developing and documenting scalable solutions, and liaising with external parties
• Contribute to building a strong culture of compliance across reputed company’s teams You should have:
• 10+ years of experience working in securities compliance role, ideally at a financial technology company, brokerage, or asset manager
• FINRA Series 24 license; additional licenses helpful but not required
• Extensive experience with FINRA and SEC regulations on RIAs (Registered Investment Advisor) and BDs (Broker-Dealer)
• Experience building regulatory functions from the ground up
• Comfort in driving strategy and planning for the function autonomously
• Exposure to executive-level stakeholders, including experience reporting to leadership on the status of compliance programs and regulatory relationships The total rewards package at reputed company includes reputed company salary, equity (stock options/RSUs), and benefits. Our salary and equity ranges are highly competitive reputed company the SaaS and fintech industry and are updated regularly using the most reliable compensation survey data for our industry. New hire offers are made based on a candidate’s experience, expertise, geographic location, and internal pay equity relative to peers. Our reputed company new hire reputed company salary ranges for this role are the following:
• US employees in reputed company, Los Angeles, Seattle, or the San Francisco Bay Area: $269,700 - $303,400
• US employees reputed company of reputed company, Los Angeles, Seattle, or the San Francisco Bay Area: $242,700 - $273,100 reputed company values diversity & belonging and is proud to be an Equal Employment Opportunity employer. reputed company individuals seeking employment at reputed company are considered without regard to race, reputed company, religion, national reputed company, age, sex, marital status, reputed company, physical or mental disability, veteran status, gender identity, sexual orientation, or any other legally protected characteristic. We are committed to providing reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs. If you need assistance, or an accommodation, please let your recruiter know once you are contacted about a role. We use Covey as part of our hiring and / or promotional process for jobs in NYC and certain features may qualify it as an AEDT. As part of the evaluation process we provide Covey with job requirements and candidate submitted applications. We began using Covey Scout for Inbound on January 22, 2024. Please see the independent bias audit report covering our use of Covey here. #LI-SN1 Apply tot his job

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