The AI-Native Turnkey Alternative Investment Platform (TAIP). Backed by Y Combinator.
About the role
We are seeking a driven Chief Compliance Officer and General Counsel to lead compliance for our broker-dealer and to act as General Counsel for the firm. Our platform enables firms to centralize data, streamline operations, and enhance visibility across all alternative asset investments.
What they're looking for
- 5–8+ years of CCO experience from the regulated financial services world
- Strong understanding of BD workflows—compliance, operations, advisor distribution, and investment data
- Exceptional communication and relationship-building skills
- Must have a J.D
- Must have a Series 7, 63, 24, and 14
More about this role
Aqua is the operating system for wealth channel alternatives. We are building the platform for independent broker-dealers (IBDs) and independent financial advisors (RIAs) to invest in alternative assets. We are on track to process $5B in new transactions for 2025, with customer logos including some of the largest RIAs/BDs in the nation and asset managers including Blackstone, Apollo, JLL, Blue Owl, etc. We’ve raised $18.8M from investors including YC, Google, and Arthur Ventures.
We are seeking a driven Chief Compliance Officer and General Counsel to lead compliance for our broker-dealer and to act as General Counsel for the firm. Our platform enables firms to centralize data, streamline operations, and enhance visibility across all alternative asset investments.
This role will own the compliance function and interface with registered representatives. Success in this role requires a mix of deep legal/compliance knowledge, great interpersonal skills, and comfort operating in a highly-regulated industry.
Compliance Oversight: Own the compliance function including onboarding registered reps, interfacing with FINRA, leading annual audits, and managing ongoing compliance...
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