Chief Compliance Officer for RIA & FINRA Brokerage

Arqfinance; New York (NY); Híbrido; USD 250.000 - 360.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Flexible PTO

Descripción de la vacante

ARQ is seeking a Chief Compliance Officer to lead US investment compliance for its SEC-registered RIA and introducing broker-dealer. You will own the compliance program, oversee FINRA/NMA processes, and build supervisory controls for a self-directed trading offering.

You will work with Product, Engineering, Operations, and Legal to embed robust controls, manage disclosures, and ensure regulatory readiness as ARQ scales its cross-border fintech platform.

Formación

• 10+ years of securities compliance experience with leadership in a CCO role.
• Experience leading FINRA NMA processes and SEC/FINRA interactions.
• Knowledge of Investment Advisers Act, SEC adviser requirements and FINRA rules.
• Experience with fully disclosed introducing broker-dealers and clearing firms.
• Experience administering RIA reviews, conflicts controls, and ethics programs.
• Experience with digital investment platforms and automated advice.
• Ability to coordinate with BSA/AML and outsourced FINOP teams.
• Strong writing, judgment, and regulator-facing communication skills.

Responsabilidades

• Oversee the US investment compliance program for ARQ's RIA and broker-dealer activities.
• Lead FINRA NMA efforts, supervisory procedures, and readiness for launch.
• Build and maintain compliance framework for self-directed brokerage and broker-dealer operations.
• Supervise marketing reviews, disclosures, and regulatory filings; ensure customer protection.

Conocimientos

Securities compliance

Descripción del empleo

ARQ is seeking a Chief Compliance Officer to lead US investment compliance for its SEC-registered RIA and introducing broker-dealer. You will own the compliance program, oversee FINRA/NMA processes, and build supervisory controls for a self-directed trading offering.

You will work with Product, Engineering, Operations, and Legal to embed robust controls, manage disclosures, and ensure regulatory readiness as ARQ scales its cross-border fintech platform.