Chief Regulatory Officer - FinTech / Broker-Dealer Compliance

Chief Regulatory Officer - FinTech / Broker-Dealer Compliance

Washington D.C., District of Columbia, United States

$ 200,000.00 - 300,000.00 (US Dollar)

About the job 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

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.

Bachelors degree required; JD or advanced degree a plus.

FINRA Licenses : Series 7, 24, and 63 required. Series 79 and 82 preferred.

Why Youll 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.

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