Job Description

Salary

$,.00 - $,.00 per year

What Makes This Opportunity Exciting

• Lead the compliance and regulatory strategy for a fast-growing FinTech company disrupting the securities industry.
• Enjoy the flexibility of working remotely from anywhere in the U.S. while collaborating with top professionals.
• Join a team that values integrity, bold ideas, and leadership in a mission-driven and innovative environment.
• Competitive salary, equity participation, and generous paid time off.
• Opportunity to have a significant impact and potentially advance to a Csuite leadership position in a rapidly growing organization.

Location

Fully remote within the United States. Work during U.S. business hours from anywhere.

Requirements

Active Series 7, Series 24, and Series 63 licenses are required. At least 15 years of compliance experience with an SECregistered, FINRAmember brokerdealer.

About the Client

Revolutionize the private markets with a pioneering financial technology company. Their cloudbased platform simplifies regulatory processes for brokerdealers, enabling legal, efficient, and collaborative operations while boosting profitability and innovation.

Job Responsibilities

• Lead and manage all regulatory and compliance functions for a registered brokerdealer and RIA.
• Develop and implement compliance strategy in line with company growth objectives.
• Nurture relationships with regulatory bodies (FINRA, SEC, state regulators) and handle audits or inquiries.
• Oversee compliance team members, fostering a culture of high performance.
• Design and automate compliance workflows to improve scalability and minimize risk.
• Collaborate with executive leadership, legal, and product teams for aligned compliance operations with business goals.
• Proactively address regulatory challenges and offer forwardthinking solutions.
• Represent organization on industry committees and regulatory working groups.

Qualifications

• 15+ years of compliance experience in a brokerdealer environment.
• Thorough knowledge of FINRA, SEC, and statelevel regulations.
• Demonstrated leadership and communication skills with executives and regulators.
• Preferred background in capital markets or investment banking.
• Bachelor's degree is required; JD or advanced degree is advantageous.
• Must hold FINRA Licenses: Series 7, 24, and 63. Series 79 and 82 are a plus.

Benefits of Working Here

• Full remote flexibility with crosscultural collaboration.
• Competitive salary, equity, and comprehensive benefits package.
• Family leave, flex days, and generous vacation time.
• Entrepreneurial, innovative culture that encourages experimentation and career growth.
• Inclusive, valuesdriven environment focused on diversity and integrity.

Job Type

Fulltime

Benefits

• Dental insurance
• Paid time off
• Vision insurance

Job Tags

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