Wayoh
Overview
Institution : Global Crypto Exchange / Broker Dealer
Interested in learning more about this job Scroll down and find out what skills, experience and educational qualifications are needed. Role : Principal & Chief Compliance Officer Location : San Francisco or Chicago Our client, a Global Crypto Exchange, is building a regulated U.S. broker-dealer to bridge traditional securities and digital assets. We are seeking a
Principal & CCO
who is ready to take on dual responsibilities — supervising the broker-dealer as a registered principal and establishing a culture of compliance from the ground up. This is an opportunity to join a fast-growing fintech/crypto-native exchange at the ground floor and help shape the regulatory and operational foundation of the business. This individual will be based in either San Francisco or Chicago. Responsibilities
Serve as the firm’s designated Principal (Series 24) and Chief Compliance Officer for FINRA/SEC purposes. Supervise securities activities, including trading, sales, and customer communications. Develop and maintain supervisory procedures and compliance programs. Oversee AML/KYC functions and serve as AMLCO. Partner with legal, product, and engineering teams to embed compliance controls into workflows and systems. Prepare, review, and file regulatory documents (U4s, BD, FOCUS, financial reports). Act as the primary contact with regulators (FINRA, SEC, potentially CFTC/NFA). Train and support employees to foster a strong compliance culture. Help build out compliance/commercial teams as the firm scales. Requirements
Active FINRA Series 24 license (required). Prior Series 7 or equivalent prerequisite licenses. Experience in broker-dealer compliance, supervision, or legal/regulatory roles. Familiarity or interest with crypto/digital assets strongly preferred. Strong judgment and ability to balance compliance with business needs. Excellent communication skills and ability to collaborate with cross-functional teams. Entrepreneurial mindset: willingness to build processes, not just manage them. Details
Seniority level: Executive Employment type: Full-time Job function: Legal and Finance Industries: Investment Management and Financial Services
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Institution : Global Crypto Exchange / Broker Dealer
Interested in learning more about this job Scroll down and find out what skills, experience and educational qualifications are needed. Role : Principal & Chief Compliance Officer Location : San Francisco or Chicago Our client, a Global Crypto Exchange, is building a regulated U.S. broker-dealer to bridge traditional securities and digital assets. We are seeking a
Principal & CCO
who is ready to take on dual responsibilities — supervising the broker-dealer as a registered principal and establishing a culture of compliance from the ground up. This is an opportunity to join a fast-growing fintech/crypto-native exchange at the ground floor and help shape the regulatory and operational foundation of the business. This individual will be based in either San Francisco or Chicago. Responsibilities
Serve as the firm’s designated Principal (Series 24) and Chief Compliance Officer for FINRA/SEC purposes. Supervise securities activities, including trading, sales, and customer communications. Develop and maintain supervisory procedures and compliance programs. Oversee AML/KYC functions and serve as AMLCO. Partner with legal, product, and engineering teams to embed compliance controls into workflows and systems. Prepare, review, and file regulatory documents (U4s, BD, FOCUS, financial reports). Act as the primary contact with regulators (FINRA, SEC, potentially CFTC/NFA). Train and support employees to foster a strong compliance culture. Help build out compliance/commercial teams as the firm scales. Requirements
Active FINRA Series 24 license (required). Prior Series 7 or equivalent prerequisite licenses. Experience in broker-dealer compliance, supervision, or legal/regulatory roles. Familiarity or interest with crypto/digital assets strongly preferred. Strong judgment and ability to balance compliance with business needs. Excellent communication skills and ability to collaborate with cross-functional teams. Entrepreneurial mindset: willingness to build processes, not just manage them. Details
Seniority level: Executive Employment type: Full-time Job function: Legal and Finance Industries: Investment Management and Financial Services
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