Chief Compliance Officer & Vice President
About the Company
Thriving financial marketplace providing liquidity solutions for private market investors & institutions
Industry
Financial Services
Type
Privately Held, VC-backed
Founded
2014
Employees
201-500
Funding
$200+ million
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a VP, CCO for its Broker-Dealer and Registered Investment Advisor. This pivotal role involves the oversight of compliance for essential aspects of the business, with a direct report to the Head of Compliance. The successful candidate will be responsible for maintaining and enhancing the company's BD and RIA compliance program, ensuring adherence to regulatory requirements, and managing a team of experienced compliance personnel. Key duties include managing internal and external regulatory examinations, acting as the primary contact with regulatory bodies, providing support and training on FINRA and SEC rules, maintaining compliance with Form ADV, and developing compliance policies and procedures. The VP, CCO will also be expected to identify and mitigate regulatory risks, assess the impact of new regulations, and execute testing programs to verify compliance. Applicants must have a minimum of 10 years of compliance experience in a registered broker-dealer, extensive knowledge of relevant SEC and FINRA rules, and hold Series 7 and 24 licenses. A Bachelor's degree is required, and the role demands excellent communication, interpersonal, and organizational skills, as well as the ability to multitask and adapt to changing priorities. The VP, CCO will be involved in the review and approval of marketing materials and must be detail-oriented with the ability to set priorities. The position is critical in supporting the business's initiatives, protecting it from legal and regulatory risks, and ensuring a transparent, accessible, and seamless private market for employees, companies, and investors.
Hiring Manager Title
Head of Compliance
Travel Percent
Less than 10%
Functions
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