Compliance Jobs

Chief Compliance and Ethics Officer – Investment Advisor FinTech, United States: Remote

We are representing a rapidly growing and innovative FinTech firm in their search for a Chief Compliance Officer.

Why Join Us:
• Business has multiplied revenue by five times and doubled customer base in previous two years
• Opportunity to work strategically in building a best in class compliance program pre and post-IPO
• Award winning employer, named as one of the most innovative FinTech companies in 2021
• Generous benefits, wellbeing and perks package

Expectations first 12 months:
• Integrate and establish yourself as a trusted advisor to colleagues at all levels of seniority
• Conduct a comprehensive compliance risk assessment for IA and BD businesses, plan and execute a strategy around compliance and ethics program improvements – providing updates to Executive Team on a regular basis

• Reporting to the CEO and managing a growing team, lead and manage the compliance and ethics program, including a FINRA registered Broker-Dealer and SEC registered Investment Advisor
• Partner with senior leadership to identify compliance risks and manage compliance priorities
• Monitor the effectiveness of established compliance processes, policies, procedures and controls and recommend and implement enhancements to comply with applicable law and other regulatory standards
• Determine controls and metrics that enable operations in a manner that will meet compliance obligations
• Maintain and nurture proactive and productive relationships with regulators, including SEC and FINRA
• Assist regulators, auditors and business management with regulatory exams and inquiries
• Manage and coordinate all communications with regulatory bodies including preparation of regulatory filings, ensuring filings are accurate and complete
• Work with all levels of management, up to and including senior leadership to ensure that appropriate regulatory processes and controls are established and documented within the areas of responsibility
• Provide Compliance support for new product and business initiatives
• Lead support and review of marketing activities to meet compliance obligations
• Identify, evaluate and analyze the impact of regulatory issues and advise senior leadership
• Provide guidance to all departments regarding compliance issues and implementation of new compliance requirements with respect to regulatory and contract language
• Identify, develop, organize, and deliver necessary compliance related training and communications
• Conduct compliance audits, develop and implement corrective action plans
• Review customer inquiries, issues, and complaints and complete a thorough investigation where appropriate
• As a member of the internal Risk Committee, partner with the Risk Management organization and the business in general to address necessary compliance related changes

• Extensive financial services compliance leadership experience including investment advisory
• Essential qualification: Bachelor’s degree – Desirable: Advanced Degree (JD or MBA)
• You will demonstrate a strategic and operational compliance focus, including compliance risk assessments, agency liaison (SEC), training, policy and procedure setting and presentation to board level executives

Application Process for Chief Compliance and Ethics Officer – Qualified professionals are to submit CV to Steve Harrison at

Published by Conselium Executive Search, the global leader in compliance search.  

PLEASE follow us!