Head of Compliance (FinTech Experience)

Landing Point; New York (NY); On-site; USD 200,000 - 225,000; Full time

Job summary

Join a rapidly growing FinTech firm as the Head of Compliance, where you'll have the unique opportunity to build and lead a comprehensive compliance function from the ground up. This role is pivotal in shaping the company's regulatory landscape as it navigates its next phase of growth. Collaborate with senior leadership, develop policies aligned with SEC and FINRA regulations, and ensure the firm operates within legal boundaries. If you're ready to make a significant impact in a fast-paced environment, this is the role for you.

Qualifications

• Juris Doctor (JD) required with prior compliance experience.
• Deep knowledge of SEC and FINRA regulatory frameworks.

Responsibilities

• Design and implement a scalable compliance framework.
• Oversee day-to-day compliance operations and serve as a trusted advisor.

Skills

Regulatory Compliance

Risk Assessment

Policy Development

Leadership

Legal Advisory

Education

Juris Doctor (JD)

Job description

Head of Compliance

Location: Midtown Manhattan (5 days in-office)

Overview:

A rapidly growing FinTech firm that recently completed a successful Series B fundraising round is seeking their first fully dedicated Head of Compliance. With 38 employees globally (18 in NYC), the firm is registered with both the SEC and FINRA and is poised for its next phase of growth. This is a rare opportunity to build, shape, and lead a comprehensive legal and compliance function from the ground up.

Key Responsibilities:

• Design and implement a scalable compliance framework across the organization
• Develop and maintain policies and procedures in alignment with SEC and FINRA regulations
• Serve as the primary point of contact for all regulatory compliance matters
• Oversee day-to-day compliance operations, including surveillance, testing, and reporting
• Collaborate with senior leadership on strategic initiatives and risk assessments
• Serve as a trusted advisor on all legal and regulatory developments impacting the business

Qualifications:

• Juris Doctor (JD) required
• Prior compliance experience within a registered investment adviser (RIA), broker-dealer, or FinTech firm
• Proven ability to lead compliance initiatives in a fast-paced, entrepreneurial environment
• Deep knowledge of SEC and FINRA regulatory frameworks

Compensation: $200K–$225K base + $75K–$100K cash bonus + equity (depending on experience)