# Brokerage and RIA CCO at ARQ

- Company: ARQ
- What the company does: Backed by Sequoia, Y Combinator and Founders Fund.
- Company website: https://www.arqfinance.com/
- Type: Startups
- Level: Mid level
- Location: New York
- Work setup: Remote
- Posted: 2026-10-27
- Apply by: 2026-12-11
- Apply: https://jobs.ashbyhq.com/ARQ/adbdfa7d-c2d0-4338-8e46-ed4e70503e2b?utm_source=1752vc&utm_medium=careers
- Page: https://www.1752.vc/careers/jobs/arq-brokerage-and-ria-cco/

## 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

Tags: Legal & Compliance

Source: 1752vc Careers, https://www.1752.vc/careers/jobs/arq-brokerage-and-ria-cco/