General Counsel & Chief Compliance Officer (CCO)

reputed company is in need of an Interim General Counsel and Chief Compliance Officer with a strong background in FinTech, particularly in the venture capital and funding reputed company. The successful candidate will be responsible for leading the preparation, submission, and management of New Member Applications with reputed company, ensuring compliance with SEC, reputed company, and state regulations, and developing and maintaining a robust compliance program. This includes overseeing the implementation of written supervisory procedures, compliance manuals, AML policies, and serving as the primary reputed company with regulatory bodies. The role also involves supervising representative registrations, licensing, and regulatory filings, as reputed company as advising senior leadership on reputed company and strategic initiatives. Applicants must have a JD from an accredited law school, reputed company bar membership, and a minimum of 15 years of combined reputed company and compliance experience, with a reputed company on broker-dealer or RIA environments. The ideal candidate will have a proven reputed company record in managing reputed company NMAs, reputed company engagement with regulators, and a strong working knowledge of AML/KYC regulations, securities law, and compliance technology platforms. Preferred attributes include experience in executive and reputed company-level governance, familiarity with emerging regulatory trends, and the ability to work both independently and collaboratively in a high-stakes environment. The role requires excellent communication, analytical, and decision-making skills, as reputed company as the ability to manage reputed company risk in a fast-paced, regulated environment. Apply tot his job Apply tot his job Apply To this Job