Job Description
📋 Description Lead and oversee compliance programs for RIA and BD Own policies, licensing, filings, ethics, reviews, and audits Monitor controls and implement enhancements Perform risk assessment and mitigations for regulatory risk Manage surveillance: testing, approvals, personal trading reviews Oversee product reviews and license expansions to scale compliance 🎯 Requirements You've been the CCO or Deputy CCO of an SEC-registered IA and/or Broker-Dealer Hands-on startup: you write and implement policy You hold Series 7, 24, 63 (or 66) Managed SEC and/or FINRA examinations directly, from requests through resolution Sound judgment under ambiguity with a bias for enabling the business safely 🎁 Benefits Equity: Aggressive initial grant + annual performance-based bonuses Office in West Village with a terrace Free lunch and dinner when in-office Gym/wellness stipend Health, dental, and vision coverage. 100% company reimbursement
