Confidential
General Counsel & Chief Compliance Officer (CCO)
Confidential, Charlotte, North Carolina, us, 28201
General Counsel & Chief Compliance Officer (CCO)
About the Company
A FinTech in the Venture Capital/ Funding Space.
Industry Accounting
Type Privately Held
About the Role
The Company is in need of an Interim General Counsel and Chief Compliance Officer with a strong background in FinTech, particularly in the venture capital and funding space. The successful candidate will be responsible for leading the preparation, submission, and management of New Member Applications with FINRA, ensuring compliance with SEC, FINRA, and state regulations, and developing and maintaining a robust compliance program. This includes overseeing the implementation of written supervisory procedures, compliance manuals, AML policies, and serving as the primary liaison with regulatory bodies. The role also involves supervising representative registrations, licensing, and regulatory filings, as well as advising senior leadership on compliance risks and strategic initiatives.
Applicants must have a JD from an accredited law school, active bar membership, and a minimum of 15 years of combined legal and compliance experience, with a focus on broker-dealer or RIA environments. The ideal candidate will have a proven track record in managing FINRA NMAs, direct engagement with regulators, and a strong working knowledge of AML/KYC regulations, securities law, and compliance technology platforms. Preferred attributes include experience in executive and board-level governance, familiarity with emerging regulatory trends, and the ability to work both independently and collaboratively in a high-stakes environment. The role requires excellent communication, analytical, and decision-making skills, as well as the ability to manage legal risk in a fast-paced, regulated environment.
Travel Percent Less than 10%
Functions
Legal
About the Company
A FinTech in the Venture Capital/ Funding Space.
Industry Accounting
Type Privately Held
About the Role
The Company is in need of an Interim General Counsel and Chief Compliance Officer with a strong background in FinTech, particularly in the venture capital and funding space. The successful candidate will be responsible for leading the preparation, submission, and management of New Member Applications with FINRA, ensuring compliance with SEC, FINRA, and state regulations, and developing and maintaining a robust compliance program. This includes overseeing the implementation of written supervisory procedures, compliance manuals, AML policies, and serving as the primary liaison with regulatory bodies. The role also involves supervising representative registrations, licensing, and regulatory filings, as well as advising senior leadership on compliance risks and strategic initiatives.
Applicants must have a JD from an accredited law school, active bar membership, and a minimum of 15 years of combined legal and compliance experience, with a focus on broker-dealer or RIA environments. The ideal candidate will have a proven track record in managing FINRA NMAs, direct engagement with regulators, and a strong working knowledge of AML/KYC regulations, securities law, and compliance technology platforms. Preferred attributes include experience in executive and board-level governance, familiarity with emerging regulatory trends, and the ability to work both independently and collaboratively in a high-stakes environment. The role requires excellent communication, analytical, and decision-making skills, as well as the ability to manage legal risk in a fast-paced, regulated environment.
Travel Percent Less than 10%
Functions
Legal