Chief Compliance Officer

📋 Description

• Lead and oversee compliance programs for RIA and BD
• Own policies, licensing, filings, ethics, reviews, and audits
• Monitor controls and implement enhancements
• Perform risk assessment and mitigations for regulatory risk
• Manage surveillance: testing, approvals, personal trading reviews
• Oversee product reviews and license expansions to scale compliance

🎯 Requirements

• You've been the CCO or Deputy CCO of an SEC-registered IA and/or Broker-Dealer
• Hands-on startup: you write and implement policy
• You hold Series 7, 24, 63 (or 66)
• Managed SEC and/or FINRA examinations directly, from requests through resolution
• Sound judgment under ambiguity with a bias for enabling the business safely

🎁 Benefits

• Equity: Aggressive initial grant + annual performance-based bonuses
• Office in West Village with a terrace
• Free lunch and dinner when in-office
• Gym/wellness stipend
• Health, dental, and vision coverage. 100% company reimbursement