Chief Compliance Officer, Ramp Advisory LLC

Ramp; San Francisco (CA); On-site; USD 250,000 - 350,000; Full time

Benefits offered by this job

Flexible PTO

Home-office equipment ordering

Health and wellness stipend

Relocation support to SF/NYC

Weekly coffee stipend

Job summary

Ramp is seeking an experienced Chief Compliance Officer for Ramp Advisory LLC, an SEC-registered adviser. This high-accountability role owns the firm's compliance program, serves as primary SEC liaison, and protects clients and the firm while Ramp ships products quickly.

You will report to Ramp's Head of Compliance and have direct access to senior leadership. The role requires building scalable controls with cross-functional partners in a fast-moving environment.

Qualifications

• 8+ years in investment adviser compliance.
• Experience in the fintech space.
• Deep working knowledge of the Advisers Act and SEC expectations.
• Direct experience supporting SEC examinations and interfacing with regulators.
• Experience overseeing custodian, broker-dealer or sub-adviser relationships.
• Sound, independent judgment in real-time regulatory decisions.
• AI fluency and using AI to scale compliance programs.
• Comfort operating as a standalone compliance lead in a fast-moving environment.
• Experience building controls with engineering teams and cross-functional partners.

Responsibilities

• Design, implement and own the firm's compliance program for Ramp Advisory LLC.
• Serve as the primary SEC liaison and represent the program with regulators.
• Maintain policies, Code of Ethics, Form ADV and conduct annual reviews.
• Provide compliance sign-off on marketing materials, disclosures, onboarding agreements and product changes.
• Oversee books/records, monitoring, complaints handling, training, and trading requirements.
• Manage relationships with financial partners and vendors from a compliance perspective.
• Shape onboarding strategy with Product, Engineering and CX for scalable controls.
• Develop and maintain the AML program.

Skills

Investment compliance

Fintech experience

Advisers Act knowledge

SEC liaison

Regulatory liaison

AI in compliance

Independent judgment

Cross-functional collaboration

Job description

About Ramp

Ramp is building the smart infrastructure for finance teams, embedded in the transaction flow of every dollar a business spends. We automate how over $275B in annualized spend flows in and out of 85,000+ companies: authorizing payments, flagging risk, categorizing spend, and closing books.

About Ramp

Ramp is building the smart infrastructure for finance teams, embedded in the transaction flow of every dollar a business spends. We automate how over $275B in annualized spend flows in and out of 85,000+ companies: authorizing payments, flagging risk, categorizing spend, and closing books. The problems are high-stakes, data-dense, and unforgiving. We hire people with high agency and high urgency. We look for slope over intercept. We care less about where you trained and more about what you've built. At Ramp, everyone is a builder who owns problems end to end and makes consequential decisions that shape the outcome. The median Ramp customer saves 7.5% and grows revenue 16% in their first year - far in excess of businesses operating without Ramp. We believe every ambitious company deserves the same. If you want to build systems that directly shape how companies move and manage billions, Ramp is the place to do it.

About The Role

Ramp is seeking an experienced Chief Compliance Officer (CCO) for Ramp Advisory LLC, our SEC-registered investment adviser. This is a high-accountability, build-and-own role. You will own and be accountable for the firm's compliance program in house, and be the gatekeeper who protects clients and the firm while keeping pace with how fast Ramp ships product. You will report to Ramp's Head of Compliance, with direct access to Ramp Advisory's senior leadership.

What You'll Do

• Serve as Ramp Advisory LLC's designated CCO, with independent authority over the design, execution and effectiveness of the compliance program
• Act as the firm's primary point of contact with the SEC, and represent the program, product and key compliance decisions with regulators
• Maintain the firm's policies and procedures, Code of Ethics, and Form ADV and amendments, and conduct the annual compliance review
• Provide compliance advice and sign-off on marketing materials, customer disclosures, onboarding agreements and product changes
• Own books and records, communications monitoring, complaints handling, employee training, and access-person and personal-trading requirements
• Oversee key financial partners and vendors from a compliance standpoint
• Shape customer onboarding strategy, partnering with Product, Engineering and Customer Experience to build scalable controls and monitoring
• Build and maintain the firm's anti-money laundering program

What You Need

• 8+ years in investment adviser compliance, including prior experience as a CCO or deputy CCO of an SEC-registered adviser
• Experience in the fintech space
• Deep working knowledge of the Advisers Act and SEC expectations
• Direct experience supporting SEC examinations and interfacing with regulators
• Experience overseeing custodian, broker-dealer or sub-adviser relationships
• Sound, independent judgment: the ability to make and defend compliance decisions in real time, grounded in regulatory guidance, and to hold a position with senior stakeholders
• AI fluency and demonstrated experience using AI and automation to build and scale compliance programs
• Comfort operating as a standalone compliance lead in a fast-moving environment
• Experience building controls and leading program design initiatives in partnership with engineering teams and cross-functional partners

Nice-to-Haves

• Experience building or scaling a compliance program at a high-growth company
• Experience with cash management or fixed income strategies
• Experience with digital or technology-enabled advisory models

Benefits Available To All Full-time Ramp Employees (Global)

• Flexible PTO
• Centralized home-office equipment ordering
• Health and wellness stipend
• Budget for intra-office travel
• Weekly coffee stipend

United States

• 100% medical, dental & vision insurance coverage for you, with partial coverage for dependents
• One Medical annual membership
• 401(k), including employer match on contributions made while employed by Ramp
• Fertility HRA (up to $10,000 per year)
• Parental leave: up to 16 weeks (birthing + bonding) or 8 weeks (bonding only) at 100% pay
• Pet insurance
• In-office perks: lunch, snacks, drinks, and more
• Relocation expense coverage to NYC or SF (if needed)

Canada

• Group medical, dental, and vision coverage through Sun Life
• Life, AD&D, and disability coverage
• Fertility drug coverage (up to $4,000 lifetime)
• Group Retirement Plan with employer match (RRSP + DPSP)
• Parental leave: up to 16 weeks (birthing + bonding) or 8 weeks (bonding only) at 100% pay, with additional time available at reduced pay
• Employee Assistance Program and virtual care through Lumino Health

United Kingdom

• Private medical insurance through Freedom Elite
• Virtual GP and at-home care via eMed x Livi
• Workplace pension through Penfold, with salary sacrifice option
• Parental leave: up to 16 weeks (birthing + bonding) or 8 weeks (bonding only) at 100% pay with additional time available at reduced pay

Referral Instructions

If you are being referred for the role, please contact that person to apply on your behalf.

Other Notices

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. Ramp Applicant Privacy Notice