Chief Compliance Officer - REMOTE at Jobgether – United States

Chief Compliance Officer - REMOTE

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Chief Compliance Officer - REMOTE. In this critical role, you will lead our Securities Compliance team, guiding the compliance strategy and governance structures. This position is pivotal in ensuring the company maintains a steadfast commitment to transparency and regulatory compliance while engaging with various stakeholders. You will shape the compliance programs as we advance our licensed activities in a fast-paced fintech environment, ensuring that we build a sustainable and trusted financial infrastructure.Accountabilities

• Mature our foundational program for managing regulatory and license obligations while assessing compliance posture continually.
• Supervise investment-related product offerings to ensure compliance across regulated securities entities.
• Manage examinations and audits or regulatory inquiries related to licensed activity.
• Collaborate with key cross-functional teams to address direct regulatory requirements through our compliance programs.
• Support governance efforts by monitoring compliance and establishing reporting mechanisms.
• Define and execute departmental initiatives and maintain best practices across the compliance function.
• Foster a strong culture of compliance throughout the organization.

Requirements

• 10+ years of experience in securities compliance, preferably in a fintech company, brokerage, or asset manager.
• FINRA Series 24 license; additional licenses are beneficial but not required.
• Extensive knowledge of FINRA and SEC regulations for RIAs and BDs.
• Experience in building regulatory functions from the ground up.
• Ability to autonomously drive strategy and planning for the compliance function.
• Experience reporting to executive leadership regarding compliance program status.

Benefits

• Competitive base salary along with equity options.
• Comprehensive benefits package.
• Flexible working hours and a remote working environment.
• Opportunities for professional development and training.
• A commitment to diversity and inclusion within the workplace.

Why Apply Through Jobgether? We use an AI-powered matching process to ensure your application is reviewed quickly, objectively, and fairly against the role's core requirements. Our system identifies the top-fitting candidates, and this shortlist is then shared directly with the hiring company. The final decision and next steps (interviews, assessments) are managed by their internal team. We appreciate your interest and wish you the best!Data Privacy Notice: By submitting your application, you acknowledge that Jobgether will process your personal data to evaluate your candidacy and share relevant information with the hiring employer. This processing is based on legitimate interest and pre-contractual measures under applicable data protection laws (including GDPR). You may exercise your rights (access, rectification, erasure, objection) at any time.#LI-CL1