Remote Chief Compliance Officer - FinTech & SEC Expert

Wwshemi; New York (NY); Ibrido; USD 170.000 - 300.000; Tempo pieno

Vantaggi offerti da questo lavoro

Flexible PTO

Health and wellness stipend

Budget for intra-office travel

Weekly coffee stipend

Relocation support to NYC or SF

401(k) with employer match

Descrizione del lavoro

Ramp is seeking an experienced Chief Compliance Officer for Ramp Advisory LLC, the 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.

Competenze

• 8+ years in investment adviser compliance, incl. CCO or deputy CCO experience
• Experience in fintech space
• Deep working knowledge of the Advisers Act and SEC expectations
• Direct experience supporting SEC examinations and regulators
• Experience overseeing custodian or broker-dealer relationships
• Strong independent judgment under regulatory guidance
• AI fluency and ability to use automation to scale compliance
• Comfort as standalone compliance lead in fast-moving env
• Experience building controls with engineering teams

Mansioni

• 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 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

Conoscenze

Investment adviser compliance

AI fluency

Regulatory guidance

Independent judgment

Regulatory liaison

Descrizione del lavoro

Ramp is seeking an experienced Chief Compliance Officer for Ramp Advisory LLC, the 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.