Serve as outsourced Chief Compliance Officer for a fintech broker-dealer. Responsibilities include maintaining WSPs and compliance manuals, leading annual compliance activities and supervisory testing, managing FINRA and SEC exams, reviewing marketing and digital communications, overseeing AML, cybersecurity, Reg S-P, and vendor due diligence programs, advising on new products, and monitoring regulatory changes. Requires extensive broker-dealer compliance experience, active securities licenses, fintech knowledge, and strong communication skills.
bout Us
[Firm Name] is a fast-growing FinTech broker-dealer. We’re looking for an experienced, independent Chief Compliance Officer to lead our compliance program on an outsourced basis. You’ll be a trusted partner to our leadership team, helping us grow while staying fully compliant with FINRA and SEC rules.
What You’ll Do
- Serve as the firm’s designated Chief Compliance Officer.
- Own and update our Written Supervisory Procedures (WSPs) and compliance manual.
- Lead the annual compliance meeting, annual CEO certification (Rule 3130), and supervisory control testing (Rule 3120).
- Prepare for and manage FINRA and SEC exams, inquiries, and document requests.
- Review marketing, app content, push notifications, and social media for Rule 2210 compliance.
- Oversee AML, cybersecurity, Reg S-P, and vendor due diligence programs.
- Advise on new products, including private placements, digital assets, and trading platform features.
- Monitor regulatory changes and keep leadership informed in plain language.
What You Bring
- Licenses: Active Series 24 (General Securities Principal) and Series 79 (Investment Banking Representative), plus the SIE.
- Clean record: No disclosures on FINRA BrokerCheck and a clean Form U4.
- At least 10 years of broker-dealer compliance experience, including at least 3 as a CCO or senior compliance officer.
- FinTech, app-based, or digital asset experience.
- Hands-on knowledge of FINRA exams, Reg BI, AML, and electronic communications rules.
- Clear writing and the ability to explain complex rules simply.
Nice to Have
- Experience with ATS operations, private placements, or crypto-related securities, working with technologists in understanding FINRA, SEC , and Anti-Money Laundering regulations
- Familiarity with compliance tools such as Smarsh, Global Relay, or project management tools like ASANA
- Familiarity with AI tools such as Copilot, Claude, Chat GPT
Similar Jobs
Artificial Intelligence • Cloud • Internet of Things • Machine Learning • Analytics • Industrial
Participate in a three-year rotational development program across three John Deere business areas. Apply data science, data engineering, statistical modeling, predictive modeling, visualization, and analytics techniques to business problems. Manage large datasets, support analytics projects, collaborate with stakeholders, and develop expertise with analytics technologies. Assignments are onsite in Illinois or Iowa and require domestic relocation.
Top Skills:
PythonRSQL
Artificial Intelligence • Fintech • Insurance • Marketing Tech • Software • Analytics
Under supervision, investigates and manages commercial property, casualty, disability, and workers’ compensation claims. The role evaluates liability, compensability, coverage, and losses; establishes reserves and action plans; negotiates settlements; communicates with policyholders and claimants; applies loss-management techniques; and maintains accurate claim files and reports through structured training and mentoring.
Artificial Intelligence • Fintech • Insurance • Marketing Tech • Software • Analytics
Handles auto claims from initial report through resolution, guiding insureds and claimants after accidents. Responsibilities include customer communication, claim processing, problem-solving, coordinating with stakeholders, managing multiple systems, and maintaining organized workflows in a high-volume environment. Paid training and licensing are provided, and no prior claims experience is required.
What you need to know about the Austin Tech Scene
Austin has a diverse and thriving tech ecosystem thanks to home-grown companies like Dell and major campuses for IBM, AMD and Apple. The state’s flagship university, the University of Texas at Austin, is known for its engineering school, and the city is known for its annual South by Southwest tech and media conference. Austin’s tech scene spans many verticals, but it’s particularly known for hardware, including semiconductors, as well as AI, biotechnology and cloud computing. And its food and music scene, low taxes and favorable climate has made the city a destination for tech workers from across the country.
Key Facts About Austin Tech
- Number of Tech Workers: 180,500; 13.7% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: Dell, IBM, AMD, Apple, Alphabet
- Key Industries: Artificial intelligence, hardware, cloud computing, software, healthtech
- Funding Landscape: $4.5 billion in VC funding in 2024 (Pitchbook)
- Notable Investors: Live Oak Ventures, Austin Ventures, Hinge Capital, Gigafund, KdT Ventures, Next Coast Ventures, Silverton Partners
- Research Centers and Universities: University of Texas, Southwestern University, Texas State University, Center for Complex Quantum Systems, Oden Institute for Computational Engineering and Sciences, Texas Advanced Computing Center
