Job Description

Job Description

• Lead and oversee all regulatory and compliance functions for a registered broker-dealer and RIA.
• Develop and execute compliance strategy aligned with company growth goals.
• Manage relationships with regulatory bodies (FINRA, SEC, state regulators) and respond to audits or inquiries.
• Supervise and mentor compliance team members, fostering a high-performance culture.
• Design and automate compliance workflows to enhance scalability and reduce risk.
• Collaborate with executive leadership, legal, and product teams to ensure alignment of compliance operations with business initiatives.
• Anticipate and address regulatory challenges, providing forward-thinking solutions.
• Represent the organization on industry committees and regulatory working groups.

Qualifications

• 15+ years of broker-dealer compliance experience.
• Deep understanding of FINRA, SEC, and state-level regulations.
• Proven leadership and communication skills with executive teams and regulators.
• Experience in capital markets or investment banking preferred.
• Bachelors degree required; JD or advanced degree a plus.
• FINRA Licenses: Series 7, 24, and 63 required. Series 79 and 82 preferred.

Why Youll Love Working Here

• 100% remote flexibility with strong cross-cultural collaboration.
• Competitive base salary, equity, and comprehensive benefits package.
• Paid family leave, flex days, and generous vacation time.
• Entrepreneurial, innovative culture that encourages experimentation and career growth.
• Inclusive, values-driven environment committed to diversity and integrity.

Job Type: Full-time

Benefits

• Dental insurance
• Paid time off
• Vision insurance

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