The Opportunity
This is a rare mandate for a senior compliance executive to own the regulatory and supervisory backbone of a growing U.S. retail brokerage — with direct Board access, full ownership of the regulator relationship, and a mandate to shape how compliance scales alongside the business. You will sit at the table where the firm's biggest strategic decisions get made, not just review them after the fact.
You'll serve as CCO for the broker-dealer, leading examinations, trade surveillance, AML, and supervisory strategy — while partnering directly with Product, Engineering, and executive leadership to embed compliance into the firm's next phase of growth, including its expansion into digital assets.
What You'll Own
Regulatory Leadership & Board Advisory
- Serve as the firm's face to FINRA, SEC, and state regulators — leading all exams, inquiries, and remediation to close
- Advise the Board and executive team on regulatory strategy, emerging risk, and how compliance enables growth
Trade Surveillance & Supervision
- Set the strategy across market abuse, best execution, Reg SHO, CAT reporting, e-comms, employee trading, OBAs, conflicts, and branch supervision
- Evolve supervisory programs in lockstep with new products and trading functionality
AML & Financial Crimes
- Own the AML framework end-to-end: CIP/CDD/EDD, sanctions, transaction monitoring, SAR governance, and independent testing
Marketing, Retail Communications & Digital Assets
- Approve retail-facing marketing, app/web content, and disclosures under FINRA communications rules
- Bring compliance expertise to the firm's crypto and digital asset initiatives — a chance to help define the playbook, not just follow one
Risk, Technology & Business Partnership
- Build enterprise risk assessments, testing programs, and modern compliance monitoring (metrics, dashboards, automation)
- Partner across Product, Legal, Risk, and Finance to make compliance a growth enabler
Team Leadership
- Build and lead a high-performing, multi-disciplinary compliance organization
What You Bring
- 12+ years of progressive broker-dealer compliance experience, including prior service as CCO or Deputy CCO of a FINRA-registered broker-dealer
- Direct, sustained experience leading regulatory examinations and remediation with FINRA, SEC, and state regulators
- Deep command of the Exchange Act, FINRA rules, Reg BI, Reg SHO, Reg NMS, CAT, Rule 15c3-5, FINRA 3110/3120/3130, and AML/BSA
- Active Series 7, 24, 53, and 65/66 (Series 14 a plus)
- Executive presence — comfortable presenting to and advising a Board
Good to have: Self-clearing broker-dealer experience, digital/retail brokerage platforms, multi-entity or introducing/clearing structures, options/margin/securities lending, and hands-on exposure to compliance technology or AI-driven surveillance.
We regret to inform only shortlisted candidates will be contacted.