Chief Compliance Officer

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.

Benefits

• 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.