Head of Compliance (RIA)

Alexander Chapman; New York (NY); On-site; USD 220,000 - 250,000; Full time

Job summary

Une entreprise financière de premier plan recherche un Head of Compliance pour rejoindre son équipe exécutive. Ce rôle stratégique nécessite un Juris Doctor et de l'expérience en conformité dans des environnements de fintech. Le candidat idéal doit posséder des compétences en communication, leadership et jugement, tout en étant capable de bâtir des programmes de conformité à échelle dans un contexte en forte croissance.

Qualifications

• 7–12 ans d'expérience en conformité.
• Connaissance approfondie des réglementations SEC et FINRA.
• Expérience dans la construction de programmes de conformité.

Responsibilities

• Rapporter directement au CEO.
• Construire des programmes de conformité dans un environnement dynamique.
• Communiquer efficacement avec les équipes et les régulateurs.

Skills

Compliance Knowledge

Communication

Leadership

Judgment

Organization

Education

Juris Doctor

Job description

1 day ago Be among the first 25 applicants

This range is provided by Alexander Chapman. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$220,000.00/yr - $250,000.00/yr

Direct message the job poster from Alexander Chapman

Recruitment Consultant at Alexander [e-mail]

A leading, venture-backed WealthTech firm is seeking a Head of Compliance to join its executive team. This is a high-impact role reporting directly to the CEO, ideal for a senior compliance professional who thrives in fast-paced, high-growth environments and is excited to shape the future of digital wealth management.

*JURIS DOCTOR REQUIRED*

Working Module: 5 days on-site

Budget: $220,000 - $250,000 base

Requirements:

• Bring 7–12 years of experience in compliance at a fintech, RIA aggregator, broker-dealer, or TAMP
• Have deep knowledge of SEC and FINRA regulations, including Reg BI, marketing rules, and custody requirements
• Understand how to build scalable compliance programs in dynamic environments
• Know how to communicate effectively across teams and with regulators
• Lead with sound judgment and a business-oriented mindset
• Are proactive, organized, and thrive in high-trust, high-growth settings

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal and Finance

• Industries

  Financial Services, Investment Management, and Capital Markets

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