Chief Compliance Officer, Ramp Advisory LLC

📋 Description

• Serve as Ramp Advisory LLC's designated CCO, with independent authority over the design, execution
• Act as the firm's primary point of contact with the SEC, and represent the program, product and key
• Maintain the firm's policies and procedures, Code of Ethics, and Form ADV and amendments, and
• Provide compliance advice and sign-off on marketing materials, customer disclosures, onboarding
• Own books and records, communications monitoring, complaints handling, employee training, and
• Oversee key financial partners and vendors from a compliance standpoint

🎯 Requirements

• 8+ years in investment adviser compliance, including prior experience as a CCO or deputy CCO of an
• Experience in the fintech space
• Deep working knowledge of the Advisers Act and SEC expectations
• Direct experience supporting SEC examinations and interfacing with regulators
• Experience overseeing custodian, broker-dealer or sub-adviser relationships
• Sound, independent judgment: the ability to make and defend compliance decisions in real time

🎁 Benefits

• Flexible PTO
• Centralized home-office equipment ordering
• Health and wellness stipend
• Budget for intra-office travel
• Weekly coffee stipend
• 100% medical, dental & vision insurance coverage for you, with partial coverage for dependents