Chief Compliance Officer

We're building the next-generation fintech platform designed to bridge traditional finance and the future of digital assets — securely, globally, and at scale. Today's financial infrastructure hasn't kept pace with the digitization of assets, evolving investor behavior, or the intelligence layer required for truly personalized financial decision-making. Our platform is built on a regulatory-first foundation, powered by modern trading infrastructure, and enhanced with AI-native tools — designed to meet the needs of tomorrow's global investor. We are seeking an experienced Chief Compliance Officer (CCO) to lead all aspects of our regulatory and compliance program. This executive role will oversee the firm's broker-dealer operations and play a critical leadership role in launching and managing our upcoming Registered Investment Advisor (RIA) and crypto-related business lines. About the Role As the firm's CCO, you will serve as the primary compliance executive and be responsible for designing, implementing, and maintaining all compliance policies and programs. You will be a key point of contact for regulators, oversee licensing and filings, and ensure that our operations meet all applicable SEC FINRA , and AML / BSA regulatory requirements. You will also guide the firm through complex filings such as FINRA CMAs and support business growth initiatives from a compliance perspective. Key Responsibilities Act as designated CCO for our Registered Investment Advisor and SEC registered broker-dealer Manage compliance with SEC, FINRA, AML / BSA, and applicable state regulations Lead and manage RIA registration and renewal filings , including Form ADV, Form CRS, and state notice filings Oversee the FINRA Continuing Membership Application (CMA) process for material changes in business scope or structure Maintain compliance manuals, Written Supervisory Procedures (WSPs), AML policies, and code of ethics Actively engage in all existing and new business lines of the firm and supervise the testing of the processes and infrastructure for the broker dealer. Manage the Firm's FINRA Gateway filings, coordinate efforts related to broker-dealer audits, inspections, reviews, and examinations, monitoring complaints and reporting as necessary. Develop and monitor trading app and website functionality for proper disclosures; monitor privacy and data protection obligations; work with operations team programmers to make necessary changes. Supervise orders, executions, settlement, best execution and trading errors reconciliation; Manage employee disclosures of trading activities. Lead annual compliance reviews, internal testing, and surveillance Review of marketing, communications, and investor materials Partner with legal, product, and operations to evaluate compliance risks related to new features or services 10+ years of experience in financial services compliance Prior experience as CCO or senior compliance officer at a broker-dealer RIA , or fintech firm Proven experience with FINRA CMA filings and RIA registration workflows Deep understanding of SEC and FINRA regulatory requirements, including Reg BI, AML, and supervisory responsibilities Active Series 7 and 24 licenses required; 63 / 65 / 66 preferred Familiarity with crypto-related compliance, including digital asset custody, MSB rules, or stablecoins, is a strong plus Strong project management, writing, and leadership skills Preferred JD or MBA Experience interacting directly with regulators during exams or inquiries What We Offer Competitive salary and performance based bonus Remote flexibility with a collaborative, fast-paced team Opportunity to lead a core function in a forward-looking fintech platform A mission-driven environment with high regulatory integrity Seniority level Seniority level Executive Employment type Employment type Full-time Job function Job function Legal Referrals increase your chances of interviewing at Tradesk Securities, Inc. by 2x Sign in to set job alerts for "Chief Compliance Officer" roles. 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