Chief Compliance Officer, Moment

• You've been the CCO or Deputy CCO of an SEC-registered IA and/or Broker-Dealer
• Comfortable being hands-on at a startup: you write the policy and you implement it
• You hold a Series 7, 24, 63 (or 66)
• You've managed SEC and/or FINRA examinations directly, from document requests through resolution
• Sound judgment under ambiguity with a bias for enabling the business safely

Desirable

• We’re hiring a Chief Compliance Officer (CCO) for our RIA and Broker-Dealer. The CCO will lead and oversee our compliance programs for each of our RIA and Broker-Dealer entities. As a senior member of the team, you'll interact with regulators on behalf of both entities, and partner daily with founders, legal, product, engineering, trading, and portfolio management
• Expand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review. You'll monitor the effectiveness of established compliance processes and controls across the businesses, and recommend and implement enhancements
• Provide Effective Risk Assessment and Management: proactively identify and asses inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure
• Own surveillance and monitoring across both entities: own ongoing testing, employee oversight, pre-clearance, personal trading reviews, gifts and entertainment, and political contributions
• Own new product and business review: clear new features, account types, and business lines before they go live, including owning relevant license applications to expand business lines and features. You'll be the partner who lets the platform move fast while doing so safely and in compliance with applicable laws, rules and regulations
• Own examinations and regulator relationships: serve as the primary point of contact for the SEC and FINRA. You'll manage exams, respond to inquiries, and build credibility with regulators
• Own firm-wide compliance training and culture: set the tone, build the training, and ensure compliance is embedded as a part of the firm’s DNA
• Own how compliance gets built into the product: work side-by-side with engineers to turn rules into systems so compliance scales with the platform. You'll advise the firm on applicable SEC and FINRA rules and regulations, including interpretive guidance