Chief Compliance Officer - Brokerage & RIA

ARQ; New York (NY); Híbrido; USD 220.000 - 360.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Hybrid role

Salary and equity

Flexible PTO

Sign-on equity bonus

Modern tech stack

LATAM finance impact

Descripción de la vacante

ARQ is seeking a Chief Compliance Officer to lead US investment compliance for an SEC-registered adviser and FINRA broker-dealer initiative. This hands-on role oversees the RIA program, broker-dealer launch, and ongoing regulatory controls across product, engineering and operations.

You will build and supervise compliance programs, manage Form ADV/CRS/BD filings, and coordinate with regulators. A strong background in digital investment platforms and cross-functional leadership is essential.

Formación

• 10+ years of progressive securities compliance experience with leadership in RIAs or broker-dealers.
• Experience leading FINRA NMA applications and regulatory responses.
• Deep knowledge of SEC and FINRA rules covering supervision, communications, records, and client protection.
• Proven ability to administer annual RIA reviews, marketing reviews, and ethics programs.
• Hands-on experience coordinating SEC and FINRA examinations and audits.

Responsabilidades

• RIA program ownership: manage compliance policies, risk assessment, monitoring and annual review.
• FINRA application and launch: lead NMA, prepare materials, respond to information requests and support interview.
• Broker dealer supervision: establish supervisory framework for self-directed trading and annual reporting.
• Digital investment compliance: oversee client questionnaires, risk profiles, disclosures, and algorithm testing.
• Marketing and disclosures: review investment marketing and ensure SEC/FINRA compliance.
• Records and protection: maintain books, retention, privacy, and incident response processes.
• Examinations and coordination: lead SEC/FINRA exams and remediation efforts.

Conocimientos

RIA compliance

FINRA NMA

SEC rules

Series 24

Regulatory filings

Examinations coordination

Policy development

Cross-functional collaboration

Descripción del empleo

About us

We’re a fast-growing fintech on a mission to redefine how Latin America manages its finances and this is your opportunity to be a crucial part of that transformation. Join a team of top talent from the world’s leading fintech and tech companies, and help build a cross-border financial system that’s modern, accessible, and built to scale.

Who we’re looking for

We are looking for a Chief Compliance Officer to lead ARQ’s US investment compliance functions, serve as CCO for our SEC-registered investment adviser, and act as the proposed CCO for our introducing broker-dealer through its FINRA New Member Application (NMA) and launch. You will bring prior CCO experience across both SEC-registered RIAs and FINRA broker-dealers, with a strong understanding of digital investment platforms and clearing broker relationships.

This is a hands-on role. You will oversee the RIA’s compliance program, help lead the broker-dealer application, and build the supervisory framework for launch. You will work closely with Product, Engineering, Operations, Legal, the BSA/AML Officer, and the outsourced FINOP to embed effective controls in ARQ’s investment offering.

What you’ll do:

1. RIA program ownership: Administer the RIA’s compliance policies, risk assessment, monitoring, testing, and documented annual review. Maintain the compliance calendar and report material risks and remediation progress to leadership.

2. FINRA application and launch: Help lead the NMA with FINRA, counsel, and internal teams. Develop written supervisory procedures, prepare supporting materials, respond to information requests, participate in the membership interview, and verify compliance readiness before launch.

3. Broker dealer supervision: Build and lead the compliance and supervisory framework for a fully disclosed introducing broker offering self-directed trading. Establish assigned supervisory responsibilities, account and transaction reviews, supervisory testing, escalation processes, and required annual reporting.

4. Digital investment advice: Oversee compliance controls for automated, non-discretionary recommendations, including client questionnaires, risk profiles, portfolio methodology, algorithm testing, change management, and ongoing monitoring. Maintain clear disclosures and separation between advisory recommendations and independent customer trading.

5. Marketing and communications: Review investment marketing, performance presentations, promotions, app content, and customer communications against applicable SEC and FINRA standards. Maintain approval records and electronic communications supervision.

6. Disclosures and registrations: Manage Form ADV, Form CRS, Form BD, relevant amendments, and client delivery obligations. Coordinate individual registrations, continuing education, advisory agreements, and customer disclosures.

7. Conflicts and conduct: Maintain the code of ethics and controls for personal trading, outside business activities, gifts and entertainment, and affiliate conflicts. Oversee fiduciary-duty controls and assess custody implications, fees, and collateral arrangements.

8. Clearing and brokerage operations: Oversee compliance with introducing and clearing responsibilities, including account opening, order handling, applicable best execution obligations, transfers, and customer complaints. Coordinate with the clearing broker and outsourced FINOP on operational controls and regulatory obligations.

9. Records and customer protection: Maintain compliant books and records, communications retention, privacy and safeguarding controls, and complaint handling. Work with Security and Engineering on incident response and customer notification processes.

10. Examinations and coordination: Lead SEC and FINRA examinations and inquiries, coordinate audits and remediation, and train employees. Partner with the BSA/AML Officer on investment-related financial crime risks and clearly document responsibilities across teams.

What you’ll need to succeed

• 10+ years of progressive securities compliance experience, with prior service as CCO for an SEC-registered investment adviser or FINRA broker-dealer.

• FINRA Series 24 qualification required.

• Direct experience supporting or leading a FINRA NMA, including supervisory procedures, regulatory responses, membership interviews, and preparation for launch.

• Strong knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules covering supervision, communications, records, registrations, and customer protection.

• Experience with fully disclosed introducing broker-dealers and clearing firms, including the division of compliance and operational responsibilities.

• Hands-on experience administering RIA annual reviews, marketing reviews, conflicts controls, codes of ethics, regulatory filings, and examinations.

• Experience with digital investment platforms, automated advice, and self-directed brokerage, including translating requirements into product and technology controls.

• Ability to coordinate effectively with a dedicated BSA/AML Officer and outsourced FINOP while maintaining clear ownership of the securities compliance program.

• Sound judgment, strong writing, and the confidence to engage regulators, challenge decisions, and explain practical solutions to senior leadership and technical teams.

Why join us?

• Competitive salary and equity - you share in our success
• Hybrid working role
• Flexible PTO and a “trust-first” culture
• Sign-on equity bonus
• Access to the latest tech and a modern tool stack
• Work with a high-calibre team building the future of finance across LATAM