Chief Compliance Officer, FinTech Advisory (SEC-Registered)

Ramp; Miami (FL); On-site; USD 180,000 - 260,000; Full time

Benefits offered by this job

Flexible PTO

Home-office equipment

Health and wellness stipend

Intra-office travel budget

Weekly coffee stipend

Job summary

Ramp Advisory LLC seeks an experienced Chief Compliance Officer to own and operate the firm's in-house compliance program. You’ll report to Ramp Advisory’s leadership and collaborate with Product, Engineering, and Customer Experience to implement scalable controls across onboarding, disclosures, and marketing.

You will interface with regulators and oversee AML efforts. You are a senior compliance leader with 8+ years in adviser compliance, fintech experience, and a strong grasp of SEC

Qualifications

• 8+ years in investment adviser compliance with prior CCO or deputy CCO experience.
• Experience in fintech space.
• Deep knowledge of the Advisers Act and SEC expectations.

Responsibilities

• Serve as designated CCO with independent authority over the compliance program.
• Act as primary SEC liaison and represent the program to regulators.
• Maintain policies, Code of Ethics, Form ADV, and conduct annual reviews.
• Provide compliance guidance and sign-off on marketing, disclosures, onboarding, and product changes.
• Own books and records, monitoring, complaints handling, and personal trading rules.
• Oversee relationships with key financial partners and vendors from a compliance view.
• Shape onboarding strategy with Product, Engineering, and CX for scalable controls.
• Build and maintain AML program.

Skills

Regulatory compliance

SEC experience

AI in compliance

Independent judgment

Job description

Ramp Advisory LLC seeks an experienced Chief Compliance Officer to own and operate the firm's in-house compliance program. You’ll report to Ramp Advisory’s leadership and collaborate with Product, Engineering, and Customer Experience to implement scalable controls across onboarding, disclosures, and marketing.

You will interface with regulators and oversee AML efforts. You are a senior compliance leader with 8+ years in adviser compliance, fintech experience, and a strong grasp of SEC