Chief Regulatory Officer – FinTech / Broker-Dealer Compliance

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

Why You’ll Love Working Here

Job Type : Full-time

Benefits

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