Chief Regulatory Officer – FinTech / Broker-Dealer Compliance

Pay

$200,000.00 - $300,000.00 per year

Why This Is a Great Opportunity

• Play a lead role in shaping the compliance and regulatory strategy for a fast-growing FinTech company revolutionizing the securities industry.
• 100% remote – work from anywhere in the U.S. while collaborating with world-class professionals.
• Join a mission-driven, innovation-first team that values integrity, bold ideas, and leadership.
• Competitive USD compensation, equity participation, and generous paid time off.
• Excellent opportunity to make a lasting impact and advance into a C-suite leadership role within a rapidly scaling organization.

Location

Fully remote across the United States. Work from anywhere during U.S. business hours.

Note

Candidates must hold active Series 7, Series 24, and Series 63 licenses. Minimum 15 years of experience in compliance with an SEC-registered, FINRA-member broker-dealer is required.

About Our Client

Our client is a pioneering financial technology company empowering dealmakers across the private markets. Their cloud-based platform enables broker-dealers to operate legally, efficiently, and collaboratively—simplifying regulatory processes while enhancing profitability and innovation. The company is growing rapidly and is backed by an ambitious mission to modernize the securities brokerage landscape.

Job Description

Qualifications

Why You’ll Love Working Here

Job Type

Full-time

Benefits

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