Chief Compliance Officer - Fintech (Hybrid, Equity)

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

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.