Chief Compliance Officer — Private Markets Leader

Better Tomorrow Ventures; New York (NY); Hybrid; USD 242.000 - 328.000; Vollzeit

Zusammenfassung

Meridian Platform Securities LLC is seeking a Chief Compliance Officer to own our regulatory program end-to-end. You will serve as our Series 24 principal and manage relationships with FINRA, the SEC, and state regulators, partnering with leadership and the deal team.

You will build a scalable compliance program from the ground up, starting with a lean team and a live exam in progress, aligning policy with deal timelines and product development across private markets.

Qualifikationen

• Active Series 24 in good standing and 7+ years of compliance at a FINRA-registered broker-dealer.
• Experience with private placements, Reg D, secondaries, and exempt structures.
• Experience managing FINRA/SEC examinations and inquiries.
• Desire to build an in-house compliance program from early stages.

Aufgaben

• Serve as the firm's designated CCO under FINRA Rule 3130 and own WSPs.
• Review and clear diligence, marketing materials, and private placement memoranda.
• Manage FINRA and SEC examinations from first notice through resolution.
• Oversee registration/licensing across jurisdictions and maintain records.
• Administer AML/BSA program and monitor regulatory developments.

Kenntnisse

Series 24

FINRA-registered B-D

Compliance leadership

Regulation D

Private placements

Examinations management

Jobbeschreibung

Meridian Platform Securities LLC is seeking a Chief Compliance Officer to own our regulatory program end-to-end. You will serve as our Series 24 principal and manage relationships with FINRA, the SEC, and state regulators, partnering with leadership and the deal team.

You will build a scalable compliance program from the ground up, starting with a lean team and a live exam in progress, aligning policy with deal timelines and product development across private markets.