Position Title: Remote Compliance Officer
Salary: $170,000-$175,000 DOE + 30% target bonus + potential equity opportunity
We are seeking an experienced Compliance Officer to oversee compliance and legal matters for a growing FINRA-registered investment banking firm operating in the private securities market. This is a fully remote opportunity where you will play a critical role reviewing contracts, ensuring regulatory compliance, advising on legal matters, and supporting business operations across the organization. You'll work directly with executive leadership in an entrepreneurial environment that values autonomy, professionalism, and sound judgment. This role is ideal for a licensed attorney with experience in financial services who enjoys balancing compliance oversight with practical legal guidance and is looking for a long-term opportunity with a clear path into executive leadership.
Responsibilities: - Review, revise, and approve client contracts and contract redlines
- Provide legal guidance on contract law and business agreements
- Review and approve marketing and advertising materials for regulatory compliance
- Ensure compliance with FINRA and applicable financial services regulations
- Review legal documents, disclosures, and compliance filings
- Complete regulatory and compliance-related documentation
- Support and improve internal compliance processes
- Partner with leadership to identify and mitigate regulatory risk
- Serve as the primary compliance resource for internal teams
Requirements: - Juris Doctor (JD) degree required
- 4+ years of experience in both compliance and general counsel responsibilities within the financial services industry
- Strong knowledge of contract law and regulatory compliance
- Experience reviewing and negotiating contracts
- Background working within investment banking, broker-dealers, securities, or other financial services organizations
- Excellent written and verbal communication skills
- Strong analytical and problem-solving abilities
- Professional, approachable, and patient communication style
- Ability to work independently in a fully remote environment
- Proficiency with Microsoft Office; experience with compliance software is a plus
Benefits: - Fully remote position with the flexibility to work from anywhere in the U.S.
- Competitive base salary
- 30% target annual bonus based on individual and company performance
- Potential equity opportunity
- Annual performance reviews with salary increase opportunities
- Unlimited PTO (subject to manager approval)
- Paid stock market holidays
- Employer-paid employee medical insurance (PPO)
- 401(k) plan
- Opportunity to grow into a Chief Compliance Officer position
- Stable, established company with a collaborative entrepreneurial culture
If you're an experienced compliance and legal professional who thrives in financial services and wants to make a meaningful impact while enjoying the flexibility of a fully remote role, we'd love to hear from you. Apply today to take the next step in your career!
#INDLEGAL #LI-SB1 #LI-KJ1
