Chief Compliance Officer for Fintech & RegTech Platform

Socket.dev; New York (NY); On-site; USD 180,000 - 230,000; Full time

Benefits offered by this job

Competitive compensation and equity

Flexible Paid Time Off

Competitive Parental Leave

Daily breakfast, coffee and snacks in 

90% company-paid healthcare

Onsite gym & discounted membership

Job summary

Octaura is seeking a commercially minded Head of Compliance to lead compliance as the business grows. The VP will own the framework for the U.S. institutional broker-dealer, embedding compliance into products, processes and commercial decisions.

Working with the CEO and executive team, they will identify material risks and elevate governance, while simplifying and automating controls as the organization scales.

Qualifications

• Approximately 6–10 years of progressive financial-services compliance experience.
• Series 24 or Series 14 qualification is required; Series 7, Series 63 and/or Series 8 are advantageous.
• Strong knowledge of FINRA and SEC requirements.
• Experience across AML, regulatory examinations, risk assessments, annual testing, policies and supervisory procedures.
• Experience in marketing and communications compliance; exposure to RegTech or AI governance is advantageous.
• A proactive, process-improvement mindset with demonstrated ability to simplify and automate compliance activities.
• Commercially aware and solutions-oriented, able to challenge constructively and enable responsible growth.
• Highly analytical, organized and able to communicate with executives, regulators and colleagues.

Responsibilities

• Serve as designated Chief Compliance Officer for Octaura’s U.S. institutional broker-dealer, ensuring compliance with FINRA, SEC and applicable federal and state requirements.
• Advise the executive team, balancing regulatory obligations with commercial objectives and escalating material risks clearly and promptly.
• Own and continuously improve the compliance programme, including policies, written supervisory procedures, risk assessments, annual testing, control evidence and regulatory reporting.
• Lead employee and personnel compliance, including registrations, licensing, outside business activities, personal trading, attestations, gifts and entertainment, training, recordkeeping and FINRA Gateway administration.
• Own the AML programme, including risk assessments, customer and activity monitoring, escalation, suspicious activity reporting and ongoing enhancement of policies and controls.
• Oversee regulatory filings and reporting, including TRACE, and lead examinations, inquiries and responses with accurate, timely and well-supported submissions.
• Develop and operate proportionate market, trade and e-commerce surveillance for an electronic fixed-income marketplace, including controls addressing manipulation and other forms of market abuse.
• Select, implement and refine compliance and surveillance technology, ensuring alerts, thresholds, investigations and escalation processes remain effective as activity grows.
• Own marketing and communications compliance, applying FINRA rules to institutional, product and corporate materials.
• Establish practical data- and AI-governance frameworks covering ownership, access, permitted use, retention, accountability and regulatory risk.
• Partner with Product, Engineering, Technology, Operations, Go-to-Market and Legal to translate regulation into practical requirements, automated controls and auditable workflows.
• Act as a proactive problem solver: identify emerging risks and operational gaps early, challenge inefficient practices and continuously seek opportunities to simplify, standardise and automate compliance processes through RegTech and responsible use of AI.
• Monitor regulatory developments and support new products, entities, partnerships, acquisitions and international expansion by identifying requirements early and implementing proportionate governance.

Skills

Regulatory leadership

Financial-services compliance

Analytical thinking

Education

Series 24

Series 14

Job description

Octaura is seeking a commercially minded Head of Compliance to lead compliance as the business grows. The VP will own the framework for the U.S. institutional broker-dealer, embedding compliance into products, processes and commercial decisions.

Working with the CEO and executive team, they will identify material risks and elevate governance, while simplifying and automating controls as the organization scales.