# Vice President of Compliance at Octaura

- Company: Octaura
- What the company does: Octaura is an electronic trading solution created by the industry – for the industry. Backed by eight major US financial institutions, Octaura has reimagined the way the syndicated loan and the CLO markets trade. Backed by MassMutual Ventures.
- Company website: https://octaura.com
- Type: Startups
- Level: Principal and up
- Location: New York
- Work setup: On-site
- Pay: $180K to $230K base salary per year (USD)
- Posted: 2026-08-17
- Apply by: 2026-10-14
- Apply: https://job-boards.greenhouse.io/octaura/jobs/5200858007
- Page: https://www.1752.vc/careers/jobs/octaura-vice-president-of-compliance/

## About the role

Octaura is seeking a commercially minded Head of Compliance to lead compliance as the business enters its next phase of growth. The VP of Compliance will protect the firm and its clients while helping leadership pursue well-informed, responsible commercial opportunities. This is a hands-on role and Octaura’s primary compliance authority. The VP of Compliance will own the framework supporting the U.S. institutional broker-dealer and develop proportionate governance for an expanding technology and data business.

## What they're looking for

- Approximately 6–10 years of progressive financial-services compliance experience, including meaningful responsibility within a U.S. broker-dealer. Evidence of judgement and impact matters more than tenure alone
- Series 24 or Series 14 qualification is required, Series 7, Series 63 and/or Series 8 are advantageous
- Strong knowledge of FINRA and SEC requirements, with the ability to interpret regulation and convert it into effective, workable controls
- Strong employee and personnel compliance experience, including registrations, personal trading, outside activities, attestations, training and supervisory processes
- Understanding of fixed-income products, institutional market structure and broker-dealer operations, electronic trading and TRACE experience are highly desirable
- Experience across AML, regulatory examinations, risk assessments, annual testing, policies and written supervisory procedures

Tags: People & Operations