Chief Compliance OfficerThe RoleWe're hiring a
Chief Compliance Officer (CCO)for our RIA and Broker-Dealer. The CCO will own and improve our compliance program, interact with regulators on behalf of both subsidiaries, and partner daily with product, engineering, trading, portfolio management, and founders.
What You'll Do- Expand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review.
- Own surveillance and monitoring across both entities: own ongoing testing, employee oversight, pre-clearance, personal trading reviews, gifts and entertainment, and political contributions.
- Own new product and business review: clear new features, account types, and business lines before they go live. You'll be the partner who lets the platform move fast while doing so safely and compliantly.
- Own examinations and regulator relationships: serve as the primary point of contact for the SEC and FINRA. You'll manage exams, respond to inquiries, and build credibility with regulators.
- Own firm-wide compliance training and culture: set the tone, build the training, and ensure compliance is embedded as a part of the firm's DNA.
- Own how compliance gets built into the product: work side-by-side with engineers to turn rules into systems so compliance scales with the platform.
You're a good fit if you have- You've been the CCO or Deputy CCO of an SEC- or state-registered RIA
- Comfortable being hands-on at a startup: you write the policy and you implement it.
- You hold a Series 7, 24, 63 (or 66)
- You've managed SEC or FINRA examinations directly, from document requests through resolution.
- Sound judgment under ambiguity with a bias for enabling the business safely
Even better if you have- Fixed-income or wealth-tech background.
- Took an RIA or BD from initial registration to scale
- Built AI agents to scale compliance policies & procedures
Compensation & Benefits- Base salary: $200K to $300K
- Equity: Aggressive initial grant + annual performance-based bonuses
- Our beautiful West Village Office with a terrace
- Free lunch and dinner when in-office.
- $150 monthly gym/wellness stipend.
- Health, dental, and vision coverage. 100% company reimbursement
