Chief Compliance Officer, Meridian Platform Securities
About The Position
Meridian Platform Securities LLC is a registered broker-dealer and placement agent built for the modern private markets. We work with fund managers, sponsors, and issuers to connect capital with opportunity, with the rigor, structure, and integrity that investors demand. Compliance is not an afterthought here. It is core infrastructure, and we are looking for a CCO who sees it that way too. You will own compliance end to end. That means building and maintaining the regulatory framework that lets us grow confidently rather than reactively, serving as our Series 24 principal, and holding the primary relationship with FINRA, the SEC, and applicable state regulators. You will be a trusted partner to leadership and a strategic resource for the deal team. You will be our first in-house CCO, standing the program up and taking it over from a vendor handoff already in motion. You'll be in the room when deals and new products take shape, so compliance moves at the same speed as the deal team, finding the creative compliant path to “yes†on deal timelines. The program you build will scale with the firm. You'll start with a lean team and a live exam already underway.
Requirements
- Hold an active Series 24 in good standing and have 7+ years of compliance experience at a FINRA-registered broker-dealer, including 3+ years in a senior or lead compliance role (ideally an online BD or fintech).
- Know private placements, Regulation D, secondaries, and the mechanics of how placement agents operate.
- Have managed FINRA cycle exams and regulatory inquiries yourself, not just supported them.
- Want to be the first in-house compliance hire and build the program from early stages.
Nice To Haves
- Experience with SPVs, fund administration, syndication platforms, or exempt offering structures.
Responsibilities
- Serve as the firm's designated CCO under FINRA Rule 3130, own the Written Supervisory Procedures,
- Be the deal team's compliance partner: review and clear diligence, marketing materials, private placement memoranda, and investor communications, and pressure-test new product structures so they are built compliantly from day one, on deal timelines.
- Manage FINRA and SEC examinations, inquiries, and correspondence from first notice through resolution, and run the annual compliance review with findings to senior management.
- Own registration and licensing across jurisdictions (principals, registered reps, state blue sky), maintain books and records under SEC Rules 17a-3 and 17a-4, and manage outside counsel on regulatory matters.
- Administer the firm's AML/BSA program, and monitor FINRA, SEC, FinCEN, and state developments, translating them into policy before they become problems.
Benefits
- competitive base salary
- benefits
- equity package
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
