Serve as outsourced Chief Compliance Officer for a fintech broker-dealer. Responsibilities include maintaining WSPs and compliance manuals, leading annual compliance activities and supervisory testing, managing FINRA and SEC exams, reviewing marketing and digital communications, overseeing AML, cybersecurity, Reg S-P, and vendor due diligence programs, advising on new products, and monitoring regulatory changes. Requires extensive broker-dealer compliance experience, active securities licenses, fintech knowledge, and strong communication skills.
bout Us
[Firm Name] is a fast-growing FinTech broker-dealer. We’re looking for an experienced, independent Chief Compliance Officer to lead our compliance program on an outsourced basis. You’ll be a trusted partner to our leadership team, helping us grow while staying fully compliant with FINRA and SEC rules.
What You’ll Do
- Serve as the firm’s designated Chief Compliance Officer.
- Own and update our Written Supervisory Procedures (WSPs) and compliance manual.
- Lead the annual compliance meeting, annual CEO certification (Rule 3130), and supervisory control testing (Rule 3120).
- Prepare for and manage FINRA and SEC exams, inquiries, and document requests.
- Review marketing, app content, push notifications, and social media for Rule 2210 compliance.
- Oversee AML, cybersecurity, Reg S-P, and vendor due diligence programs.
- Advise on new products, including private placements, digital assets, and trading platform features.
- Monitor regulatory changes and keep leadership informed in plain language.
What You Bring
- Licenses: Active Series 24 (General Securities Principal) and Series 79 (Investment Banking Representative), plus the SIE.
- Clean record: No disclosures on FINRA BrokerCheck and a clean Form U4.
- At least 10 years of broker-dealer compliance experience, including at least 3 as a CCO or senior compliance officer.
- FinTech, app-based, or digital asset experience.
- Hands-on knowledge of FINRA exams, Reg BI, AML, and electronic communications rules.
- Clear writing and the ability to explain complex rules simply.
Nice to Have
- Experience with ATS operations, private placements, or crypto-related securities, working with technologists in understanding FINRA, SEC , and Anti-Money Laundering regulations
- Familiarity with compliance tools such as Smarsh, Global Relay, or project management tools like ASANA
- Familiarity with AI tools such as Copilot, Claude, Chat GPT
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