Chief Compliance Officer - Fintech SaaS (Remote/Hybrid)

DAP Brands; United States; Hybrid; USD 180,000 - 240,000; Full time

Job summary

DAP Brands is seeking a Chief Compliance Officer in the United States to lead regulatory strategy, policy, and risk management for a fast-growing SaaS/Investment platform. You will partner with executives to align compliance with growth objectives and investor protections.

You will drive exam readiness, external counsel coordination, and robust internal controls while ensuring tax-efficient entity structures and compliant revenue recognition.

Qualifications

• 10+ years of experience in Compliance, Operations or Finance.
• Experience within an RIA or fintech environment.
• Proven track record scaling a company through high-growth phases.
• Bachelor’s degree required; JD or CPA is a bonus, but operational experience is prioritized.
• Deep understanding of how legal entities (LLCs, corps, partnerships) fit together.
• Proven ability to efficiently manage external legal/tax firms.
• Commercial mindset that views compliance as enabling revenue.

Responsibilities

• Design, implement, and maintain the firm’s compliance manual and code of ethics.
• Ensure adherence to RIA and SEC regulations, including all filings (Form ADV).
• Serve as the primary regulator contact and lead through examinations.
• Partner with product and engineering to identify regulatory red flags in design phase.
• Manage external law firms and accounting partners translating business needs into legal requests.
• Provide oversight of legal entity structures for tax efficiency and liability protection.
• Manage the compliance budget and outside consultants for cost-effective use.
• Collaborate with finance to ensure revenue recognition and regulatory reporting.
• Oversee internal controls to preserve data integrity and investor protection.

Skills

10+ years experience in Compliance/ops

RIA/Fintech experience

Scaling a high-growth company

Commercial mindset for compliant rev

Regulatory liaison and regulator exams

Regulatory filings (Form ADV etc.)

Education

Bachelor’s degree

JD or CPA bonus

Job description

DAP Brands is seeking a Chief Compliance Officer in the United States to lead regulatory strategy, policy, and risk management for a fast-growing SaaS/Investment platform. You will partner with executives to align compliance with growth objectives and investor protections.

You will drive exam readiness, external counsel coordination, and robust internal controls while ensuring tax-efficient entity structures and compliant revenue recognition.