Chief Regulatory Officer – FinTech / Broker-Dealer ComplianceRetail Options • San Francisco, CA, United States
Chief Regulatory Officer – FinTech / Broker-Dealer Compliance
Retail Options • San Francisco, CA, United States
1 day ago
Job type
- Full-time
Job description15+ 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. 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. Dental insurance Paid time off Vision insurance
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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Chief Compliance Officer • San Francisco, CA, United States
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