We're Hiring

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 Chief Compliance Officer (CCO) – Investment Banking & ATS Operations

Compensation: $250,000 – $275,000 base + performance incentives
Location: Remote (U.S.)
Licenses Required: Series 7, 24, 63, 99

Our client is a self-clearing U.S. broker-dealer providing sophisticated execution, clearing, and order-routing solutions across the U.S. equity markets. The firm connects institutional and retail broker-dealers to 40+ trading venues and operates a regulated Alternative Trading System (ATS) that supports efficient, compliant trading and execution.

With a growing footprint in digital finance and investment banking, including private placements and capital markets advisory, the firm seeks a senior compliance leader with broad regulatory knowledge and hands-on experience in broker-dealer operations, investment banking, and ATS compliance oversight.

The Chief Compliance Officer (CCO) will be responsible for overseeing the firm’s overall compliance program, ensuring adherence to SEC, FINRA, and MSRB regulations across trading, investment banking, and digital asset activities.

This is a strategic leadership role requiring deep familiarity with private placements (Reg D), investment banking transactions, ATS operations, trading surveillance, and clearing functions. The CCO will report directly to the firm’s President and collaborate closely with senior management, operations, technology, and legal teams to strengthen the firm’s regulatory posture.

• Develop, implement, and continuously enhance the firm’s compliance framework, policies, and supervisory procedures.
   
• Ensure full compliance with SEC, FINRA, and MSRB rules related to investment banking, trading, and clearing operations.
   
• Maintain oversight of Reg D / Reg A private placements, ensuring appropriate disclosures, suitability assessments, and adherence to AML/KYC standards.
   
• Oversee compliance for ATS operations, including Form ATS filings, system functionality reviews, and order-handling transparency.
   
• Serve as the firm’s primary liaison with FINRA, SEC, and other regulatory agencies, managing all examinations, audits, and inquiries.
   

• Supervise compliance for private placements, PIPEs, and other capital formation activities, ensuring alignment with regulatory guidelines.
   
• Review marketing materials, offering documents, and due diligence files for accuracy and compliance.
   
• Support business teams with regulatory interpretations, particularly related to underwriting, distribution, and conflicts of interest.
   

• Oversee compliance related to principal and agency trading, best execution, Reg SHO, Rule 15c3-5 (Market Access Rule), and trade reporting obligations.
   
• Implement and monitor trading surveillance tools for detecting manipulative trading, front-running, or information misuse.
   
• Review ATS trade data and routing logic for regulatory adherence and operational integrity.
   
• Manage firm-level reporting including Rule 606, CAT, OATS, and other applicable submissions.
   

• Conduct periodic risk assessments across trading, banking, and operational lines of business.
   
• Partner with technology teams to integrate compliance monitoring into trading systems and digital platforms.
   
• Identify emerging regulatory risks in the digital and fintech space and proactively update policies.
   

• Lead and mentor the compliance department, fostering a culture of accountability and integrity.
   
• Deliver ongoing training to bankers, traders, and operations personnel on evolving regulatory obligations.
   
• Advise senior management on regulatory developments and strategic compliance planning.
   

 *        10–15 years of compliance experience within a self-clearing broker-dealer or investment bank.
*      Proven experience with private placements, investment banking      supervision, and ATS compliance management.
*      Strong working knowledge of SEC, FINRA, and MSRB regulations, including Reg D, Reg ATS, and FINRA Rules 5121, 2210, and 3310.
* Familiarity with digital securities, fintech, or blockchain-based trading environments is highly desirable.
*  Exposure to multiple firm sizes and business models (from boutique investment banks to larger multi-line broker-dealers).
*  Experience with fixed income or mutual fund compliance programs is a plus.

• FINRA Series 7, 24, 63, and 99 required
   
• Series 14 or 57 preferred
   
• Bachelor’s degree required; JD, MBA, or equivalent industry credential (e.g., CAMS, CFA) preferred