Chief Compliance Officer

Moment

New York (NY)

Hybrid

USD 260,000 - 290,000

Full time

14 days+

Get more replies from employers

Send a job-specific resume in minutes.

Benefits offered by this job

Aggressive initial equity grant

Annual performance-based bonuses

Monthly gym/wellness stipend

Health, dental, and vision coverage

Job summary

Moment is searching for a Chief Compliance Officer to lead compliance programs within their RIA and Broker-Dealer. This pivotal role involves managing compliance processes, interacting with regulators such as the SEC and FINRA, and ensuring effective risk management.

The ideal candidate will have a strong track record in compliance, hold relevant certifications, and thrive in a fast-paced startup environment. The position offers competitive compensation, including a base salary of $260K-$290K plus equity benefits.

Qualifications

Proven track record as CCO or Deputy CCO of an SEC-registered IA and/or Broker-Dealer.
Ability to write and implement compliance policies.
Experience managing SEC and/or FINRA examinations.

Responsibilities

Expand and own the RIA and BD compliance programs end to end.
Provide effective risk assessment and management.
Own surveillance and monitoring across both entities.
Ensure effective compliance training and culture.

Skills

Experience as CCO or Deputy CCO

Hands-on policy implementation

Hold a Series 7, 24, 63 (or 66)

Managed SEC and/or FINRA examinations

Sound judgment under ambiguity

Job description

Chief Compliance Officer

Team: Legal & Compliance
Location: New York, NY
Work mode: Onsite / Hybrid
Comp: $260-$290K base + equity

Build the future of investment management with us

The infrastructure managing $300 trillion in assets was built in the 90s. Now, all of it is up for grabs. The winner of the AI era of investment management will be a $100B+ company. We intend to be that company.

To get there, we're assembling the most talent-dense startup in New York. We hire people who are exceptional, allergic to anything that's not exceptional, and recruiters of other exceptional people. We also have no tolerance for brilliant jerks.

We run lean by design. We work with a select group of the largest financial institutions in the world, go incredibly deep with each, and sit in the flow of trillions of dollars. We hire fewer people, ask each to own the outcome, and pay on impact - not tenure or experience.

Moment is not for everyone. The standards are unreasonably high. The pace is intense. And there is no playbook.

In return: the best work of your career, building a generational company.

About Moment

Moment is the AI operating system for investment management, built for the world's largest wealth firms & fintechs. Moment works with firms managing more than $10 trillion in client assets and is backed by Index, a16z, and Lightspeed. Moment was founded by former quants from Citadel and Jane Street and is based in NYC.

The Role

We’re hiring a Chief Compliance Officer for our RIA and Broker-Dealer. The CCO will lead and oversee our compliance programs for each of our RIA and Broker-Dealer entities. As a senior member of the team, you'll interact with regulators on behalf of both entities, and partner daily with founders, legal, product, engineering, trading, and portfolio management.

What You'll Do

Expand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review. You'll monitor the effectiveness of established compliance processes and controls across the businesses, and recommend and implement enhancements.
Provide Effective Risk Assessment and Management: proactively identify and assess inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
Own surveillance and monitoring across both entities: own ongoing testing, employee oversight, pre-clearance, personal trading reviews, gifts and entertainment, and political contributions.
Own new product and business review: clear new features, account types, and business lines before they go live, including owning relevant license applications to expand business lines and features. You'll be the partner who lets the platform move fast while doing so safely and in compliance with applicable laws, rules and regulations.
Own examinations and regulator relationships: serve as the primary point of contact for the SEC and FINRA. You'll manage exams, respond to inquiries, and build credibility with regulators.
Own firm-wide compliance training and culture: set the tone, build the training, and ensure compliance is embedded as a part of the firm’s DNA.
Own how compliance gets built into the product: work side‑by‑side with engineers to turn rules into systems so compliance scales with the platform. You'll advise the firm on applicable SEC and FINRA rules and regulations, including interpretive guidance.

You’re a good fit if you have

You've been the CCO or Deputy CCO of an SEC-registered IA and/or Broker-Dealer
Comfortable being hands‑on at a startup: you write the policy and you implement it.
You hold a Series 7, 24, 63 (or 66)
You've managed SEC and/or FINRA examinations directly, from document requests through resolution.
Sound judgment under ambiguity with a bias for enabling the business safely

Even better if you have