Longbridge Securities
Overview
Direct message the job poster from Longbridge Securities At Longbridge, we are on a mission to redefine the retail investing experience through cutting-edge technology, smart design, and a deep understanding of market behavior. As a retail brokerage platform, we empower everyday investors with intuitive tools, real-time market insights, and a seamless trading experience. The Chief Compliance Officer (CCO) is responsible for structuring, implementing, and leading a compliance program that enables innovation while ensuring regulatory and legal adherence. The CCO ensures that compliance is integrated into business strategy, allowing the company to develop customer-centric, compliant financial solutions without unnecessary friction. The CCO will have experience with and a thorough understanding of the financial securities industry, with specific experience in retail broker-dealer practice compliance – including the application of artificial intelligence. Knowledge of crypto will be a plus. The CCO must maintain the effectiveness of the compliance program, ensuring it adapts to regulatory developments, business growth, and product expansion. The executive will be responsible for providing Management with transparency into the company’s compliance posture, offering clear reporting on program efficacy, risk trends, and regulatory challenges. Beyond maintaining compliance, the CCO is a business enabler, partnering with product, growth & marketing, technology and operations teams to develop solutions that meet both regulatory requirements and customer needs. This requires balancing risk management with a practical, scalable approach that fosters innovation while maintaining regulatory integrity. Responsibilities
Develops a compliance framework that allows the company to build and scale innovative financial products within legal and regulatory guidelines, including AI. Maintains, administers and enhances compliance policies and procedures and written supervisory procedures. Monitor and analyze compliance issues to identify causes and resolutions timely. Review and support trade surveillance team and with SARs filing. Response to regulatory (FINRA, SEC) inquiries and escalates any issues promptly to senior management. Engages with outside counsel, industry groups, and policymakers to help shape the future of the business. Works hand-in-hand with product, technology and design teams to ensure compliance is embedded into the product design process early, not just as a final approval step. Advises on structuring products to balance compliance with customer experience and market competitiveness. Review and ensure marketing materials are in compliance prior to launch. Ensures compliance processes are designed to be lightweight and efficient, reducing operational frictions. Delivers clear, data-driven compliance reports to senior management, providing actionable insights on program effectiveness, regulatory trends, and key risk areas to support strategic decision-making. Trains and educates staff on compliance issues, best practices and relevant enforcement proceedings while not overwhelming them with rigid policies. Works cross-functionally with leadership, legal, risk, product, growth & marketing, finance, technology and operations to align compliance strategies with business objectives. Qualifications
15+ years of experience in compliance, legal, or risk management roles within broker-dealer, fintech, or financial services. Must have Series 24. Proven track record of building or scaling compliance programs in product-driven, fast-paced environments. Strong working knowledge of U.S. financial regulations, particularly in the retail broker-dealer sector. Experienced in designing and implementing AML/KYC programs, with knowledge of Bank Secrecy Act (BSA), OFAC requirements, and FinCEN guidance. CAMS certification (or equivalent AML credential) strongly preferred, particularly given the company’s customer business requiring full KYC. Demonstrated ability to interpret and apply regulations pragmatically, enabling compliant solutions that support innovation and user experience. Familiarity with tooling for transaction monitoring, case management, and reporting. Experienced in engaging with regulatory bodies, auditors, financial institution partners, and third-party vendors, with a confident and credible communication style. Comfortable working cross-functionally with product, legal, risk, growth & marketing, finance and operations to embed compliance into the product lifecycle. Experienced in reviewing marketing materials. Exceptional communication skills with the ability to convey compliance risks, requirements, and opportunities to both technical and executive audiences. Strong organizational, planning and time management skills to multitask competing priorities in a fast paced and dynamic environment with minimal oversight. Bachelor’s degree required; JD, CRCM, or other relevant certifications a plus. Seniority level
Executive Employment type
Full-time Job function
Finance
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Direct message the job poster from Longbridge Securities At Longbridge, we are on a mission to redefine the retail investing experience through cutting-edge technology, smart design, and a deep understanding of market behavior. As a retail brokerage platform, we empower everyday investors with intuitive tools, real-time market insights, and a seamless trading experience. The Chief Compliance Officer (CCO) is responsible for structuring, implementing, and leading a compliance program that enables innovation while ensuring regulatory and legal adherence. The CCO ensures that compliance is integrated into business strategy, allowing the company to develop customer-centric, compliant financial solutions without unnecessary friction. The CCO will have experience with and a thorough understanding of the financial securities industry, with specific experience in retail broker-dealer practice compliance – including the application of artificial intelligence. Knowledge of crypto will be a plus. The CCO must maintain the effectiveness of the compliance program, ensuring it adapts to regulatory developments, business growth, and product expansion. The executive will be responsible for providing Management with transparency into the company’s compliance posture, offering clear reporting on program efficacy, risk trends, and regulatory challenges. Beyond maintaining compliance, the CCO is a business enabler, partnering with product, growth & marketing, technology and operations teams to develop solutions that meet both regulatory requirements and customer needs. This requires balancing risk management with a practical, scalable approach that fosters innovation while maintaining regulatory integrity. Responsibilities
Develops a compliance framework that allows the company to build and scale innovative financial products within legal and regulatory guidelines, including AI. Maintains, administers and enhances compliance policies and procedures and written supervisory procedures. Monitor and analyze compliance issues to identify causes and resolutions timely. Review and support trade surveillance team and with SARs filing. Response to regulatory (FINRA, SEC) inquiries and escalates any issues promptly to senior management. Engages with outside counsel, industry groups, and policymakers to help shape the future of the business. Works hand-in-hand with product, technology and design teams to ensure compliance is embedded into the product design process early, not just as a final approval step. Advises on structuring products to balance compliance with customer experience and market competitiveness. Review and ensure marketing materials are in compliance prior to launch. Ensures compliance processes are designed to be lightweight and efficient, reducing operational frictions. Delivers clear, data-driven compliance reports to senior management, providing actionable insights on program effectiveness, regulatory trends, and key risk areas to support strategic decision-making. Trains and educates staff on compliance issues, best practices and relevant enforcement proceedings while not overwhelming them with rigid policies. Works cross-functionally with leadership, legal, risk, product, growth & marketing, finance, technology and operations to align compliance strategies with business objectives. Qualifications
15+ years of experience in compliance, legal, or risk management roles within broker-dealer, fintech, or financial services. Must have Series 24. Proven track record of building or scaling compliance programs in product-driven, fast-paced environments. Strong working knowledge of U.S. financial regulations, particularly in the retail broker-dealer sector. Experienced in designing and implementing AML/KYC programs, with knowledge of Bank Secrecy Act (BSA), OFAC requirements, and FinCEN guidance. CAMS certification (or equivalent AML credential) strongly preferred, particularly given the company’s customer business requiring full KYC. Demonstrated ability to interpret and apply regulations pragmatically, enabling compliant solutions that support innovation and user experience. Familiarity with tooling for transaction monitoring, case management, and reporting. Experienced in engaging with regulatory bodies, auditors, financial institution partners, and third-party vendors, with a confident and credible communication style. Comfortable working cross-functionally with product, legal, risk, growth & marketing, finance and operations to embed compliance into the product lifecycle. Experienced in reviewing marketing materials. Exceptional communication skills with the ability to convey compliance risks, requirements, and opportunities to both technical and executive audiences. Strong organizational, planning and time management skills to multitask competing priorities in a fast paced and dynamic environment with minimal oversight. Bachelor’s degree required; JD, CRCM, or other relevant certifications a plus. Seniority level
Executive Employment type
Full-time Job function
Finance
#J-18808-Ljbffr