Chief Compliance Officer, Meridian Platform Securities

📋 Description

• Serve as the firm's designated CCO under FINRA Rule 3130, own the Written Supervisory Procedures,
• Be the deal team's compliance partner: review and clear diligence, marketing materials, private
• Manage FINRA and SEC examinations, inquiries, and correspondence from first notice through
• Own registration and licensing across jurisdictions (principals, registered reps, state blue sky)
• Administer the firm's AML/BSA program, and monitor FINRA, SEC, FinCEN, and state developments

🎯 Requirements

• Hold an active Series 24 in good standing and have 7+ years of compliance experience at a
• Know private placements, Regulation D, secondaries, and the mechanics of how placement agents
• Have managed FINRA cycle exams and regulatory inquiries yourself, not just supported them.
• Want to be the first in-house compliance hire and build the program from early stages.
• Bonus: Experience with SPVs, fund administration, syndication platforms, or exempt offering

🎁 Benefits

• Competitive base salary, benefits, and equity package
• Support for life both in and outside of work
• Explore our benefits (https://angell.ist/venture-benefits)
• Learn about Funders & Founders (https://join.angellist.com/)