About the Role:

Meridian Platform Securities LLC is a registered broker-dealer and placement agent built for the modern private markets. We work with fund managers, sponsors, and issuers to connect capital with opportunity, with the rigor, structure, and integrity that investors demand. Compliance is not an afterthought here. It is core infrastructure, and we are looking for a CCO who sees it that way too.

You will own compliance end to end. That means building and maintaining the regulatory framework that lets us grow confidently rather than reactively, serving as our Series 24 principal, and holding the primary relationship with FINRA, the SEC, and applicable state regulators. You will be a trusted partner to leadership and a strategic resource for the deal team. You will be our first in-house CCO, standing the program up and taking it over from a vendor handoff already in motion.

You'll be in the room when deals and new products take shape, so compliance moves at the same speed as the deal team, finding the creative compliant path to "yes" on deal timelines. The program you build will scale with the firm. You'll start with a lean team and a live exam already underway.

Responsibilities

• 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 placement memoranda, and investor communications, and pressure-test new product structures so they are built compliantly from day one, on deal timelines.
• Manage FINRA and SEC examinations, inquiries, and correspondence from first notice through resolution, and run the annual compliance review with findings to senior management.
• Own registration and licensing across jurisdictions (principals, registered reps, state blue sky), maintain books and records under SEC Rules 17a-3 and 17a-4, and manage outside counsel on regulatory matters.
• Administer the firm's AML/BSA program, and monitor FINRA, SEC, FinCEN, and state developments, translating them into policy before they become problems.

You may be a good fit if you

• Hold an active Series 24 in good standing and have 7+ years of compliance experience at a FINRA-registered broker-dealer, including 3+ years in a senior or lead compliance role (ideally an online BD or fintech).
• Know private placements, Regulation D, secondaries, and the mechanics of how placement agents operate.
• 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 structures.

Working Here

If you don't meet every requirement above, we still encourage you to apply. We value complementary strengths and operators who learn by doing.

We operate out of hubs in New York City and San Francisco. For most roles on those teams, we work from the office at least two days per week (Tuesdays and either Wednesday or Thursday).

Compensation:
The compensation for this role consists of a competitive base salary, benefits, and equity package. The base salary for this role is $285,000+ annually but actual will vary based on a number of factors including a candidate's professional background, experience, and location. Full details about our Total Rewards package will be provided during the recruitment process.

Benefits:
We support your life both in and outside of work.
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