Chief Compliance Officer

Major, Lindsey & Africa; Los Angeles (CA); Remote; USD 100,000 - 160,000; Full time

Job summary

An innovative firm is seeking a Chief Compliance Officer to lead its compliance function and ensure adherence to regulatory standards. This role involves building a robust compliance program and fostering a culture of ethics within the organization. The ideal candidate will have extensive experience in securities compliance, particularly with SEC regulations, and a keen interest in the evolving landscape of digital assets. This fully remote position offers a unique opportunity to shape compliance strategies in a forward-thinking environment, making a significant impact in the digital asset ecosystem.

Qualifications

• Minimum of 10 years’ experience in securities compliance.
• Experience with SEC registered investment advisors is ideal.

Responsibilities

• Build and oversee compliance function to ensure regulatory compliance.
• Foster a culture of compliance and ethics across the organization.

Skills

Securities Compliance

Regulatory Requirements

Crypto Knowledge

Blockchain Understanding

Fintech Experience

Education

Bachelor’s Degree

Master’s Degree

Job description

Overview: Reporting to Wave’s General Counsel, the Chief Compliance Officer and Head of Anti-Money Laundering will be responsible for building, leading, and overseeing Wave’s compliance function, to help ensure continued compliance with regulatory requirements as well as to foster a culture of compliance and ethics across the organization. Wave is seeking a business savvy, experienced, and solutions-oriented compliance leader to serve as its CCO, who will drive the continued evolution of Wave’s compliance program.

Company: Wave is a SEC-registered investment advisory firm that provides a unique combination of venture capital, fund, and private wealth management to the digital asset ecosystem. Founded in Los Angeles in 2018 by a team of highly experienced crypto natives and financial services professionals, Wave brings together smart capital strategies, deep institutional expertise, and cutting-edge ideas to help investors unlock the potential of digital assets.

Location: The company is headquartered in Los Angeles, CA; however, this role is fully remote and opened to qualified candidates residing anywhere within the United States.

Compensation: Competitive and commensurate with experience.

Experience: The successful candidate has a minimum of 10 years’ experience in securities compliance, preferably with a SEC registered investment advisor. Experience with the U.S. Investment Advisers Act of 1940, including in compliance matters relevant to registered investment advisers, is ideal. The ideal candidate has experiences with start-ups and an interest and/or working knowledge of crypto, blockchain, or fintech.

Education: Bachelor’s Degree or Higher Required.