# Chief Compliance Officer

**Company:** [Moment](https://hotfix.jobs/companies/moment)
**Location:** New York, NY
**Role:** Legal
**Salary:** $200k – $300k/yr
**Experience:** 8+ years
**Skills:** Sec Compliance, Finra Compliance, Ria Compliance Program, Broker-Dealer Compliance, Series 7, Series 24, Series 63, Series 66, Regulatory Examinations, Policy Development
**Posted:** 2026-06-26

> Lead compliance for an RIA and Broker-Dealer at an AI investment management startup. Own policies, surveillance, regulator relationships, and embed compliance into product.

## Job Description

## 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

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