Chief Compliance Officer

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.
• Own examinations and regulator relationships: serve as the primary point of contact for the SEC and FINRA. 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
• 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