Connecting linkedin



Chief Compliance Officer (Broker Dealer Fintech)

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:


  • Contact:

    Allison Hill

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    6 months ago

  • Expiry date:


  • Startdate:


We are partnered with a fast-growing international Fintech client who is looking for a Chief Compliance Officer to lead their broker-dealer clearing operations. This person will will oversee regulatory adherence and be the point of contact for certain regulatory exams and inquiries.This is an exciting opportunity to join one of the most innovative fintechs in the industry.

Job Responsibilities:  

  • The Chief Compliance Officer will be in a key leadership role to establish a culture of compliance within the organization, and ensure employees adhere to policies and procedures designed to mitigate regulatory risk to the firm.
  • Build and oversee compliance reviews within each area to ensure policies and procedures are up to date with current regulatory guidance and notices
  • Clearly communicate with internal and external partners in an effective, tactical, and insightful manner
  • Support AML and CIP program and continue to build the compliance team to support hyper growth

Required Qualifications and Experience: 

  • +10 years of relevant experience in a broker dealer, financial services, or clearing firm compliance leadership roles
  • Familiarity with all aspects of Broker Dealer rules and regulation
  • Bachelor's degree

You can apply by:

Selecting the “Apply” button below or by contacting me directly.

As a Fintech Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Fintech Companies across the country. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

Allison Hill, or (619) 268—5395