Founding Compliance Leader – Director, CCO

Job Description: • Serve as the primary compliance professional for Crux’s broker-dealer and RIA subsidiaries, ensuring compliance with FINRA, SEC, and state securities laws. • Develop and maintain compliance policies, procedures, and supervisory systems aligned with FINRA, SEC, and other applicable standards. • Oversee supervisory controls, annual reviews, testing, and risk assessments. • Manage all regulatory examinations, audits, and filings, including Form ADV, Form BD, FINRA membership continuing requirements, and related reports. • Serve as a key liaison with regulators, external counsel, auditors, and internal teams on all compliance-related matters. • Ensure appropriate registration, training, and oversight of associated persons and registered representatives. • Monitor marketing, communications, and financial promotions for regulatory compliance and alignment with firm policies. • Implement and maintain books and records, trading oversight, and surveillance programs tailored to Crux’s products and platform. • Oversee select corporate compliance functions, including AML/KYC, OFAC/sanctions screening, and anti-bribery/anti-corruption policies. Advise on emerging compliance risks across the broader Crux enterprise, including data governance, conflicts of interest, and information barriers. • Support implementation of compliance technology and reporting systems for centralized oversight. • Collaborate with Legal, Finance, and Operations to maintain a robust, scalable compliance framework consistent with Crux’s growth and regulatory posture. Requirements: • 10+ years of experience in securities compliance, including prior service as a Chief Compliance Officer or senior compliance officer for a broker-dealer and/or RIA. Experience with both broker-dealer and RIA compliance regimes (not one or the other) is a requirement. • For CCO candidates, active FINRA principal licenses (Series 7, 24, and 63/65 or 66) are required. • Deep understanding of FINRA, SEC, and state regulatory frameworks. • Experience designing and managing compliance programs, supervisory systems, and regulatory filings for hybrid financial services businesses. • Familiarity with AML/KYC compliance and risk-based control frameworks. • Strong judgment, problem-solving, and communication skills, with the ability to balance regulatory requirements and business goals. • Experience in clean energy finance, structured products, fintech or private placement markets is a plus. • Entrepreneurial mindset and ability to work independently in a fast-moving environment. Benefits: • Healthcare: We cover 100% of premiums for employees with a variety of plans on Aetna (nationwide) and Kaiser (WA and California), and subsidize $400/month for dependents (total), if relevant. • Dental & Vision: We cover 100% of premiums for employees and 50% for dependents (each), if relevant. • Holidays & PTO: 10 company holidays + 20 days of paid vacation annually. • 401(k): We support a 401(k), though do not currently offer matching (typical for early-stage startups). • Team Offsites: Regular all-team offsites 3x/year. • Compensation: $165,000-$215,000+ base salary based on experience and leveling, 20% bonus target based on company and individual performance, and equity in the form of stock options. Apply tot his job Apply To this Job