Job Description

Head of Compliance

Location: Midtown Manhattan (5 days in-office)

Overview:

A rapidly growing firm that recently completed a successful Series B fundraising round is seeking their first fully dedicated Head of Compliance. With 38 employees globally (18 in NYC), the firm is registered with both the SEC and FINRA and is poised for its next phase of growth. This is a rare opportunity to build, shape, and lead a comprehensive legal and compliance function from the ground up.

The ideal candidate will have a JD and 7-12 years of compliance experience specifically within a registered investment advisory firm.

Key Responsibilities:

• Design and implement a scalable compliance framework across the organization
• Develop and maintain policies and procedures in alignment with SEC and FINRA regulations
• Serve as the primary point of contact for all regulatory compliance matters
• Oversee day-to-day compliance operations, including surveillance, testing, and reporting
• Collaborate with senior leadership on strategic initiatives and risk assessments
• Serve as a trusted advisor on all legal and regulatory developments impacting the business

Qualifications:

• Juris Doctor (JD) required
• Prior compliance experience within a registered investment adviser (RIA), broker-dealer, or FinTech firm
• Proven ability to lead compliance initiatives in a fast-paced, entrepreneurial environment
• Deep knowledge of SEC and FINRA regulatory frameworks

Compensation: $250K–$275K base + cash bonus (up to 350k all-in) + equity (depending on experience)

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