Chief Compliance Officer - Broker-Dealer and Registered Investment Advisor

Employer Industry: Fintech

• Salary range for US employees in New York City, Los Angeles, Seattle, or the San Francisco Bay Area: $269,700 - $303,400; for employees outside these areas: $242,700 - $273,100
• Opportunity to lead and shape compliance strategy within a rapidly growing fintech company
• Engage directly with regulatory bodies and play a key role in maintaining compliance integrity
• Supportive and inclusive work environment that values diversity and belonging
• Chance to build a strong culture of compliance across the organization

• Oversee compliance programs and manage regulatory and licensing obligations for the organization
• Supervise compliance across investment‑related product offerings within regulated securities entities
• Manage examinations, audits, and regulatory inquiries, serving as the primary point of contact with regulatory bodies
• Collaborate with key teams to ensure compliance requirements are addressed through programs and operational builds
• Contribute to governance efforts and maintain mechanisms for reporting on compliance health

• 10+ years of experience in a securities compliance role, preferably in a fintech company, brokerage, or asset manager
• FINRA Series 24 license; additional licenses are beneficial but not mandatory
• Extensive knowledge of FINRA and SEC regulations concerning RIAs and Broker‑Dealers
• Experience in building regulatory functions from the ground up
• Proven ability to drive strategy and report compliance status to executive stakeholders

• Experience working with executive‑level stakeholders and reporting on compliance programs
• Familiarity with creating and documenting scalable compliance solutions

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