Backed by Sequoia, Y Combinator and Founders Fund.
About the role
RIA program ownership: Administer the RIA’s compliance policies, risk assessment, monitoring, testing, and documented annual review. Maintain the compliance calendar and report material risks and remediation progress to leadership. FINRA application and launch: Help lead the NMA with FINRA, counsel, and internal teams. Develop written supervisory procedures, prepare supporting materials, respond to information requests, participate in the membership interview, and verify compliance readiness before launch. Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- 10+ years of progressive securities compliance experience, with prior service as CCO for an SEC-registered investment adviser or FINRA broker-dealer
- FINRA Series 24 qualification required
- Direct experience supporting or leading a FINRA NMA, including supervisory procedures, regulatory responses, membership interviews, and preparation for launch
- Strong knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules covering supervision, communications, records, registrations, and customer protection
- Experience with fully disclosed introducing broker-dealers and clearing firms, including the division of compliance and operational responsibilities
- Hands-on experience administering RIA annual reviews, marketing reviews, conflicts controls, codes of ethics, regulatory filings, and examinations
More about this role
We’re a fast-growing fintech on a mission to redefine how Latin America manages its finances and this is your opportunity to be a crucial part of that transformation. Join a team of top talent from the world’s leading fintech and tech companies, and help build a cross-border financial system that’s modern, accessible, and built to scale.
We are looking for a Chief Compliance Officer to lead ARQ’s US investment compliance functions, serve as CCO for our SEC-registered investment adviser, and act as the proposed CCO for our introducing broker-dealer through its FINRA New Member Application (NMA) and launch. You will bring prior CCO experience across both SEC-registered RIAs and FINRA broker-dealers, with a strong understanding of digital investment platforms and clearing broker relationships.
This is a hands-on role. You will oversee the RIA’s compliance program, help lead the broker-dealer application, and build the supervisory framework for launch. You will work closely with Product, Engineering, Operations, Legal, the BSA/AML Officer, and the outsourced FINOP to embed effective controls in ARQ’s investment offering.
RIA program ownership: Administer the RIA’s compliance policies,...
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