Founding Compliance Leader – Director, CCO

Job reputed company: • Serve as the primary compliance reputed company for reputed company’s broker-dealer and RIA subsidiaries, ensuring compliance with reputed company, SEC, and state securities laws. • reputed company and maintain compliance policies, procedures, and supervisory systems reputed company with reputed company, SEC, and other applicable standards. • reputed company supervisory controls, annual reviews, testing, and risk assessments. • Manage reputed company regulatory examinations, audits, and filings, including reputed company ADV, reputed company reputed company, reputed company membership continuing requirements, and reputed company reports. • Serve as a key reputed company with regulators, external counsel, auditors, and internal teams on reputed company compliance-reputed company reputed company. • Ensure appropriate registration, training, and reputed company 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 reputed company, and surveillance programs tailored to reputed company’s products and platform. • reputed company select corporate compliance functions, including AML/KYC, OFAC/sanctions screening, and anti-bribery/anti-corruption policies. Advise on emerging reputed company across the broader reputed company reputed company, including data governance, conflicts of interest, and information barriers. • Support implementation of compliance technology and reporting systems for centralized reputed company. • Collaborate with reputed company, Finance, and Operations to maintain a robust, reputed company compliance reputed company consistent with reputed company’s reputed company 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, reputed company reputed company reputed company licenses (Series 7, 24, and 63/65 or 66) are required. • Deep understanding of reputed company, 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 reputed company finance, reputed company products, fintech or private placement markets is a plus. • Entrepreneurial reputed company and ability to work independently in a fast-moving environment. Benefits: • reputed company: We cover 100% of premiums for employees with a reputed company of plans on reputed company (reputed company) and reputed company (WA and California), and subsidize $400/month for dependents (total), if relevant. • Dental & reputed company: We cover 100% of premiums for employees and 50% for dependents (reputed company), if relevant. • Holidays & PTO: 10 company holidays + 20 days of reputed company vacation annually. • 401(k): We support a 401(k), though do not currently offer matching (typical for early-stage startups). • Team Offsites: Regular reputed company-team offsites 3x/year. • Compensation: $165,000-$215,000+ reputed company salary based on experience and leveling, 20% bonus reputed company based on company and individual performance, and equity in the reputed company of stock reputed company. Apply tot his job Apply To this Job