Chief Compliance Officer (Broker-Dealer)

Job Summary

Leading investment compliance efforts, the full-time remote Chief Compliance Officer (Broker-Dealer) will oversee compliance processes, manage regulatory applications, and ensure alignment with legal requirements in a fast-paced digital environment.

Key responsibilities

• Promoting an ethical compliance culture and managing investment compliance efforts
• Overseeing license applications and monitoring the effectiveness of compliance processes and controls
• Coordinating regulatory exams and advising on FINRA and SEC rules and regulations

Required qualifications

• 10+ years of financial crime and regulatory compliance experience
• Series 7 and 24 licenses
• Experience with fintech, broker-dealer, and robo advisor
• Expertise in AML/CTF, KYC, and regulatory reporting
• A bachelor's degree