Vice President of Compliance

Octaura; New York (NY); On-site; USD 180,000 - 230,000; Full time

Benefits offered by this job

Competitive compensation and equity

Flexible Paid Time Off

Competitive Parental Leave

Daily breakfast, coffee and snacks in

90% company-paid healthcare

Onsite gym & discounted membership

Job summary

Octaura is seeking a commercially minded Head of Compliance to lead regulatory affairs as the company grows in the U.S. institutional broker-dealer space.

The VP of Compliance will own the compliance framework and partner with the CEO and executive team to balance risk with opportunity. This hands-on leader will build and sustain policies, risk assessments, AML, surveillance, and data/AI governance while guiding filings, audits, and training across multiple entities.

Qualifications

• Series 24/14 licensing required for the role.
• Strong knowledge of FINRA/SEC and applicable regulations.
• Proven ability to implement effective compliance controls.
• Experience leading AML programs and regulatory filings.
• Experience with marketing/comms compliance and governance of data/AI.

Responsibilities

• Serve as designated Chief Compliance Officer for the U.S. broker-dealer.
• Advise executives and escalate material risks clearly.
• Own and improve the compliance programme and risk assessments.
• Lead employee compliance, registrations, training, and attestations.
• Own AML program, monitoring, and policy enhancements.
• Oversee regulatory filings and inspections; respond to inquiries.
• Develop surveillance for an electronic fixed-income marketplace.
• Lead selection and deployment of compliance/surveillance technology.
• Manage marketing/compliance of institutional and corporate materials.
• Establish data- and AI-governance frameworks.
• Collaborate with Product, Engineering, Legal to translate regulation into controls.
• Proactively identify risks and drive automation and simplification.

Skills

Regulatory leadership

FINRA/SEC knowledge

Risk management

Analytical thinking

Executive communication

Commercial awareness

Education

FINRA Series 24

FINRA Series 14

Series 7/63/8 advantageous

Tools

RegTech platforms

Regulatory surveillance tech

Job description

Come build what the market has been missing.

Octaura is a technology company transforming how some of the world’s largest, least digitized markets operate. In loans and CLOs, trillions of dollars still move through phones, emails, and PDFs because the right infrastructure hasn’t existed — until now.

We’re applying AI, real-time data, and modern software design to asset classes long overlooked by fintech. Our platforms turn fragmented information into intelligence, manual workflows into automation, and legacy conventions into scalable market infrastructure.

You’ll join a high-impact, collaborative team building the systems these markets need to become more transparent, efficient, and connected.

The role in a nutshell

Octaura is seeking a commercially minded Head of Compliance to lead compliance as the business enters its next phase of growth. The VP of Compliance will protect the firm and its clients while helping leadership pursue well-informed, responsible commercial opportunities.

This is a hands-on role and Octaura’s primary compliance authority. The VP of Compliance will own the framework supporting the U.S. institutional broker-dealer and develop proportionate governance for an expanding technology and data business.

Working with the CEO and executive team, the VP of Compliance will identify and escape material risks and embed compliance into products, processes and commercial decisions. Building on an established foundation, they will continuously look for ways to simplify, strengthen and automate controls as the organisation scales.

Core Responsibilities

• Serve as designated Chief Compliance Officer for Octaura’s U.S. institutional broker-dealer, ensuring compliance with FINRA, SEC and applicable federal and state requirements.
• Advise the executive team, balancing regulatory obligations with commercial objectives and escalating material risks clearly and promptly.
• Own and continuously improve the compliance programme, including policies, written supervisory procedures, risk assessments, annual testing, control evidence and regulatory reporting.
• Lead employee and personnel compliance, including registrations, licensing, outside business activities, personal trading, attestations, gifts and entertainment, training, recordkeeping and FINRA Gateway administration.
• Own the AML programme, including risk assessments, customer and activity monitoring, escalation, suspicious activity reporting and ongoing enhancement of policies and controls.
• Oversee regulatory filings and reporting, including TRACE, and lead examinations, inquiries and responses with accurate, timely and well-supported submissions.
• Develop and operate proportionate market, trade and e-commerce surveillance for an electronic fixed-income marketplace, including controls addressing manipulation and other forms of market abuse.
• Select, implement and refine compliance and surveillance technology, ensuring alerts, thresholds, investigations and escalation processes remain effective as activity grows.
• Own marketing and communications compliance, applying FINRA rules to institutional, product and corporate materials.
• Establish practical data- and AI-governance frameworks covering ownership, access, permitted use, retention, accountability and regulatory risk.
• Partner with Product, Engineering, Technology, Operations, Go-to-Market and Legal to translate regulation into practical requirements, automated controls and auditable workflows.
• Act as a proactive problem solver: identify emerging risks and operational gaps early, challenge inefficient practices and continuously seek opportunities to simplify, standardise and automate compliance processes through RegTech and responsible use of AI.
• Monitor regulatory developments and support new products, entities, partnerships, acquisitions and international expansion by identifying requirements early and implementing proportionate governance.

Desired Experience

• Approximately 6-10 years of progressive financial-services compliance experience, including meaningful responsibility within a U.S. broker-dealer. Evidence of judgement and impact matters more than tenure alone.
• Series 24 or Series 14 qualification is required; Series 7, Series 63 and/or Series 8 are advantageous.
• Strong knowledge of FINRA and SEC requirements, with the ability to interpret regulation and convert it into effective, workable controls.
• Strong employee and personnel compliance experience, including registrations, personal trading, outside activities, attestations, training and supervisory processes.
• Understanding of fixed-income products, institutional market structure and broker-dealer operations; electronic trading and TRACE experience are highly desirable.
• Experience across AML, regulatory examinations, risk assessments, annual testing, policies and written supervisory procedures.
• Experience in marketing and communications compliance; exposure to trade surveillance, data governance, AI governance or RegTech is advantageous.
• A proactive, process-improvement mindset, with evidence of identifying problems early and simplifying, standardising or automating compliance activity while strengthening controls.
• Commercially aware and solutions-oriented, with the confidence to challenge constructively, make sound decisions and enable responsible growth.
• Highly analytical, organised and self-directed, with the drive to operate as a hands-on compliance leader across multiple entities and communicate credibly with executives, regulators and colleagues.

The base pay range for this position in New York is $180,000 - $230,000 annually. Pay may vary depending on job-related knowledge, skills, and experience. Equity and year-end bonus may be provided as part of the compensation package, in addition to a full range of medical, financial, and other benefits, dependent on the position offered. Applicants should apply via Octaura's internal or external careers site.

Benefits

Octaura Work Perks

At Octaura, our people are our most valuable asset, and we are pleased to offer the following benefits to all full-time employees:

• Competitive compensation and equity
• Flexible Paid Time Off
• Competitive Parental Leave
• Daily breakfast, coffee and snacks in the office
• 90% company-paid healthcare
• Onsite gym & discounted membership

We’re committed to equal opportunity employment Octaura is committed to a diverse and inclusive workplace. We are an equal opportunity employer and do not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status.