Chief Compliance Officer (CCO)

Location: New Jersey (Hybrid)

About the Company

We are a rapidly growing financial services and investment platform serving millions of users globally through innovative trading, investing, and wealth building solutions. Our mission is to provide investors with the tools, insights, and technology needed to make informed financial decisions while maintaining the highest standards of regulatory compliance and customer protection.

As we continue to expand our product offerings across brokerage, digital assets, and emerging financial technologies, we are seeking an accomplished Chief Compliance Officer to lead and scale our global compliance function.

The Opportunity

The Chief Compliance Officer will serve as the senior compliance executive for the organization, responsible for developing, executing, and enhancing the firm’s compliance strategy across all regulated business activities.

Reporting directly to executive leadership, the CCO will act as a trusted advisor to the Board, executive team, regulators, and business leaders. This individual will build a proactive compliance culture that enables growth while ensuring adherence to applicable regulatory requirements across brokerage, securities, digital assets, anti money laundering, consumer protection, and market conduct frameworks.

This is a highly visible leadership opportunity for an executive who thrives at the intersection of regulation, innovation, and business strategy.

Key Responsibilities

Enterprise Compliance Leadership

• Develop and execute the firm’s global compliance strategy and governance framework.
• Serve as the senior compliance advisor to executive leadership and the Board of Directors.
• Foster a culture of compliance, accountability, and ethical business conduct across the organization.
• Build, mentor, and scale a high performing compliance organization capable of supporting rapid business growth.

Regulatory Oversight

• Maintain firmwide compliance with SEC, FINRA, state regulatory, AML, consumer protection, and applicable digital asset requirements.
• Serve as the primary liaison with federal, state, and international regulators.
• Oversee regulatory examinations, audits, inquiries, remediation efforts, and enforcement matters.
• Monitor evolving regulatory developments and proactively assess their impact on business operations and product strategy.

Compliance Program Management

• Own the design, implementation, and continuous enhancement of the firm’s compliance management system.
• Ensure policies, procedures, controls, surveillance programs, and governance structures remain effective and scalable.
• Oversee annual compliance risk assessments and enterprise monitoring programs.
• Ensure regulatory reporting obligations are satisfied accurately and on a timely basis.

AML, Financial Crimes & Market Integrity

• Provide executive oversight of AML, KYC, sanctions screening, transaction monitoring, market surveillance, and fraud prevention programs.
• Ensure effective controls are maintained to identify and mitigate financial crime, insider trading, market abuse, and other regulatory risks.
• Partner with risk, legal, and operations teams to strengthen enterprise control frameworks.

Digital Assets & Emerging Technologies

• Provide strategic guidance regarding digital assets, tokenization, custody, stablecoins, blockchain technologies, and other emerging financial products.
• Evaluate regulatory implications of new products and services before launch.
• Partner with product and engineering teams to enable innovation while maintaining compliance integrity.

Risk Management & Governance

• Lead enterprise compliance risk management initiatives.
• Present compliance updates, emerging risks, and strategic recommendations to executive leadership and governance committees.
• Drive remediation efforts resulting from examinations, audits, and internal reviews.
• Establish key compliance metrics and reporting frameworks for leadership visibility.

Cross Functional Leadership

• Partner closely with Legal, Risk, Finance, Operations, Product, Technology, and Internal Audit teams.
• Support strategic business initiatives, licensing efforts, acquisitions, partnerships, and market expansion activities.
• Balance commercial objectives with regulatory expectations through pragmatic and business focused guidance.

Qualifications

• 15+ years of progressive compliance leadership experience within broker dealers, fintech, financial services, digital assets, or capital markets organizations.
• Significant experience interacting directly with regulators including SEC, FINRA, state regulators, and other relevant supervisory authorities.
• Deep expertise in securities laws, broker dealer regulations, market conduct requirements, and AML regulations.
• Experience leading enterprise compliance programs across multiple products, jurisdictions, and regulatory frameworks.
• Demonstrated success building and scaling compliance functions in high growth environments.
• Strong executive presence with the ability to influence stakeholders at all levels of the organization.
• Exceptional communication, leadership, and relationship management skills.

Preferred Experience

• Previous experience serving as a Chief Compliance Officer, Deputy CCO, or equivalent senior compliance executive.
• FINRA Series 7 and Series 24 licenses preferred.
• Experience supporting digital asset, crypto, tokenization, or blockchain related products.
• Familiarity with NYDFS regulatory frameworks and other state licensing requirements.
• Exposure to international regulatory regimes across Europe and Asia Pacific.
• Experience supporting publicly traded or highly regulated financial institutions.