Chief Compliance Officer - REMOTE

Jobgether

38d•Remote

About The Position

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Chief Compliance Officer - REMOTE. In this critical role, you will lead our Securities Compliance team, guiding the compliance strategy and governance structures. This position is pivotal in ensuring the company maintains a steadfast commitment to transparency and regulatory compliance while engaging with various stakeholders. You will shape the compliance programs as we advance our licensed activities in a fast-paced fintech environment, ensuring that we build a sustainable and trusted financial infrastructure.

Requirements

10+ years of experience in securities compliance, preferably in a fintech company, brokerage, or asset manager.
FINRA Series 24 license; additional licenses are beneficial but not required.
Extensive knowledge of FINRA and SEC regulations for RIAs and BDs.
Experience in building regulatory functions from the ground up.
Ability to autonomously drive strategy and planning for the compliance function.
Experience reporting to executive leadership regarding compliance program status.

Responsibilities

Mature our foundational program for managing regulatory and license obligations while assessing compliance posture continually.
Supervise investment-related product offerings to ensure compliance across regulated securities entities.
Manage examinations and audits or regulatory inquiries related to licensed activity.
Collaborate with key cross-functional teams to address direct regulatory requirements through our compliance programs.
Support governance efforts by monitoring compliance and establishing reporting mechanisms.
Define and execute departmental initiatives and maintain best practices across the compliance function.
Foster a strong culture of compliance throughout the organization.