Founding Compliance Leader (Director - CCO)

10+ years of experience in securities compliance. Prior service as a Chief Compliance Officer or senior compliance officer for a broker-dealer and/or RIA. Experience with both broker-dealer and RIA compliance regimes. Active FINRA principal licenses (Series 7, 24, and 63/65 or 66) required for CCO candidates. Deep understanding of FINRA, SEC, and state regulatory frameworks. Experience designing and managing compliance programs, supervisory systems, and regulatory filings for hybrid financial services businesses. Familiarity with AML/KYC compliance and risk-based control frameworks. Strong judgment, problem-solving, and communication skills. Ability to balance regulatory requirements and business goals. Experience in clean energy finance, structured products, fintech or private placement markets is a plus. Entrepreneurial mindset and ability to work independently in a fast-moving environment.

Serve as primary compliance professional for broker-dealer and RIA subsidiaries. Develop and maintain compliance policies, procedures, and supervisory systems. Oversee supervisory controls, annual reviews, testing, and risk assessments. Manage all regulatory examinations, audits, and filings. Serve as a key liaison with regulators, external counsel, auditors, and internal teams. Ensure appropriate registration, training, and oversight of associated persons and registered representatives. Monitor marketing, communications, and financial promotions for regulatory compliance. Implement and maintain books and records, trading oversight, and surveillance programs. Oversee select corporate compliance functions, including AML/KYC, OFAC/sanctions screening. Advise on emerging compliance risks across the broader enterprise. Support implementation of compliance technology and reporting systems. Collaborate with Legal, Finance, and Operations to maintain a robust compliance framework.