Hybrid CCO for RIA & FINRA Launch

ARQ; New York (NY); Hybrid; USD 240.000 - 360.000; Vollzeit

Benefits dieser Stelle

Hybrid working role

Competitive salary and equity

Flexible PTO

Sign-on equity bonus

Access to latest tech and modern tool‑

LATAM team collaboration

Zusammenfassung

ARQ is seeking a Chief Compliance Officer to lead US investment compliance for our SEC-registered investment adviser and to act as proposed CCO for our FINRA broker‑dealer as part of the NMA and launch.

This hands‑on role oversees the RIA compliance program, policy development, and regulatory interactions with SEC and FINRA. You’ll partner with Product, Engineering, Legal and outside FINOP to implement robust controls for digital investment offerings.

Qualifikationen

• 10+ years of progressive securities compliance experience.
• CCO experience for an SEC-registered adviser or FINRA broker-dealer.
• FINRA Series 24 qualification.
• Experience with FINRA NMA, supervisory procedures, and launch.
• Knowledge of the Investment Advisers Act, Securities Exchange Act, and FINRA rules.
• Experience with digital investment platforms, automated advice, and self-directed brokerage.
• Coordinate with BSA/AML Officer and outsourced FINOP.
• Strong writing and regulator engagement skills.

Aufgaben

• Own the RIA compliance program, risk assessment, monitoring, testing, and annual review.
• Lead the FINRA NMA and launch activities with internal teams.
• Build and oversee the compliance framework for a fully disclosed introducing broker.
• Oversee compliance for digital investment advice and client disclosures.
• Review marketing, disclosures, and regulatory filings for SEC/FINRA alignment.
• Manage records, examinations, and regulator communications.

Kenntnisse

Regulatory liaison

Policy development

Audit coordination

Writing skills

Stakeholder management

Ausbildung

FINRA Series 24

Jobbeschreibung

ARQ is seeking a Chief Compliance Officer to lead US investment compliance for our SEC-registered investment adviser and to act as proposed CCO for our FINRA broker‑dealer as part of the NMA and launch.

This hands‑on role oversees the RIA compliance program, policy development, and regulatory interactions with SEC and FINRA. You’ll partner with Product, Engineering, Legal and outside FINOP to implement robust controls for digital investment offerings.