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Chief Regulatory Officer – FinTech / Broker-Dealer Compliance
Chief Regulatory Officer – FinTech / Broker-Dealer ComplianceRetail Options • San Francisco, CA, United States
Chief Regulatory Officer – FinTech / Broker-Dealer Compliance

Chief Regulatory Officer – FinTech / Broker-Dealer Compliance

Retail Options • San Francisco, CA, United States
1 day ago
Job type
  • Full-time
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.
  • Bachelor’s degree required; JD or advanced degree a plus.
  • FINRA Licenses : Series 7, 24, and 63 required. Series 79 and 82 preferred.

    • Why You’ll 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

    • #J-18808-Ljbffr

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    Chief Compliance Officer • San Francisco, CA, United States

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