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Enterprise CCO - Fintech - Remote

  • Location: New York City, NY
  • Job Type: Direct Placement
  • Ref No: 21-05630
  • Date: October 07, 2021
  • Job title:

Job Description - Enterprise CCO - Fintech - Remote

Enterprise Chief Compliance Officer - Fintech 

Our client is looking for an experienced financial services compliance professional to act as the Chief Compliance Officer overseeing all compliance matters across the business.


Currently there are three distinct elements to the business: We are a technology company that has built a powerful mobile app, website and backend systems; a US broker dealer that executes orders for US-listed stocks and ETFs for self-directed retail customers; and a US cryptocurrency business (in partnership with Apex Crypto).  In the near future, we hope to expand into the UK and EU with our equities and crypto businesses, establish an "retail IR” business to connect company issuers with retail investors, and establish a registered investment advisor in the US.


The Enterprise CCO would lead the development and implementation of compliance policies, procedures and systems with respect to the broker-dealer, cryptocurrency trading, the registered investment advisor, consumer financial protection regulations, and privacy and data security.   The Enterprise CCO would also manage the firms relationships with our regulatory authorities, including the SEC and Client, and develop and implement our compliance risk program.


Strong candidates will have over ten years of experience in financial services compliance (broker-dealer, RIA and/or consumer banking), and possess deep subject-matter expertise, strong leadership skills, financial acumen, and entrepreneurial drive.


What you'll do:  

  • Draft Written Supervisory Procedures, Desk Manuals and pertinent Regulatory updates surrounding rule changes, new rule implementation, and market/ industry developments.  
  • Develop and implement a Client Rule 3010/3012 Compliance and Supervisory program for institutional and retail equities trading, including operations/ middle office and trade settlements and transaction reporting (e.g., TRF, CATS, 605/606).  
  • Develop and maintain the Compliance Surveillance and Testing program, including the creation of exception reports for ongoing monitoring as well as periodic sampling and risk based reviews of Firm and Client trading activity culminating in the Client 3130 Compliance Attestation.  
  • Implement KYC and AML rules relating to retail client onboarding and account maintenance.  
  • Manage and respond to Regulatory inquiries for all businesses, and act as a point of contact for regulatory examinations and inquiries.  
  • Develop and deliver internal training programs for employees across the enterprise, including the Firm Element and Annual Compliance Meeting.  
  • Work with International Team at the firm to expand into new markets, including the UK and EU.
  • Implement a privacy and data security program that complies with Client data security and privacy requirements, as well as the CCPA, GDPR and other applicable privacy laws.
  • Revise customer agreements and online terms and conditions to meet our regulatory obligations and business needs.


What we're looking for:  

  • Bachelor's degree  
  • 10+ years of relevant compliance experience  
  • Series 7 and Series 24 required, and Series 27 highly preferred (will be required to obtain this within the first 6 months)  
  • Prior experience with Financial Technology, online trading, algorithmic trading strongly desired.  
  • Strong Excel Skills.

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