Responsibilities

Develop, implement, and maintain the firm’s compliance program in line with government regulations.
Monitor and enforce adherence to policies, procedures, and regulatory requirements.
Conduct internal audits and risk assessments to ensure regulatory compliance.
Oversee filings, disclosures, and reporting obligations with the appropriate government entities (SEC, FINRA, IRS, etc).
Lead compliance training programs for employees and management.
Serve as the primary liaison with regulatory bodies, auditors, and legal counsel.
Investigate and resolve compliance issues, ensuring timely and appropriate corrective action.
Stay current on regulatory changes and advise the leadership team on potential impacts.
Maintain compliance-related records, systems, and documentation.

Requirements

12+ years of compliance experience, preferably in an SEC-registered investment advisor and/or a FINRA registered Broker Dealer.
Strong understanding of SEC rules and regulations, including the Investment Advisers Act of 1940.
Experience leading and scaling compliance programs in a tech-forward environment.
Proven ability to interact with regulators and external auditors.
Strong analytical, problem-solving, and decision-making skills.
Excellent communication and interpersonal skills to lead training and collaborate with teams.
Bachelor's degree required; JD or relevant certification (e.g., IACCP) preferred.

100% employer-covered medical insurance for employees (75% for dependents), plus dental and vision.
401(k) retirement savings program.
Paid Time Off plus most federal holidays.
Comprehensive parental leave.
Select meals covered throughout the week.
Monthly fitness stipend.
Equity and career growth opportunities, early exercise eligibility.
Full access to cutting-edge AI tools.
Annual compensation reviews.