Chief Compliance Officer - Brokerage & RIA

The role

The Chief Compliance Officer will lead US investment compliance functions and serve as CCO for an SEC-registered investment adviser and a proposed FINRA broker-dealer. This hands-on role involves overseeing the RIA compliance program, leading the broker-dealer application, and building supervisory frameworks.

What you will do

• Administer the RIA compliance policies, risk assessment, monitoring, testing, and annual review.
• Lead the FINRA NMA, develop written supervisory procedures, and participate in membership interviews.
• Build and lead the compliance and supervisory framework for a fully disclosed introducing broker.
• Oversee compliance controls for automated, non-discretionary recommendations.
• Review investment marketing, performance presentations, and customer communications.
• Manage Form ADV, Form CRS, Form BD, and relevant amendments.
• Maintain the code of ethics and controls for personal trading and outside business activities.
• Oversee compliance with introducing and clearing responsibilities.
• Maintain compliant books and records, communications retention, and privacy controls.
• Lead SEC and FINRA examinations and inquiries.

Required qualifications

• 10+ years of progressive securities compliance experience
• Prior service as CCO for an SEC-registered investment adviser or FINRA broker-dealer
• FINRA Series 24 qualification
• Direct experience supporting or leading a FINRA NMA
• Strong knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules
• Experience with fully disclosed introducing broker-dealers and clearing firms
• Hands-on experience administering RIA annual reviews, marketing reviews, conflicts controls, codes of ethics, regulatory filings, and examinations
• Experience with digital investment platforms, automated advice, and self-directed brokerage

Benefits

• Competitive salary and equity
• Sign-on equity bonus
• Hybrid working role
• Flexible PTO
• Trust-first culture
• Access to the latest tech and a modern tool stack

About the company

Arq is a fast-growing fintech on a mission to redefine how Latin America manages its finances. The team consists of talent from leading fintech and tech companies building a cross-border financial system.