Chief Compliance Officer, Ramp Advisory LLC

The role

You will serve as the designated CCO for Ramp Advisory LLC, an SEC-registered investment adviser. You will own the compliance program, act as the primary contact with the SEC, and maintain firm policies and procedures.

What you will do

• Serve as Ramp Advisory LLC’s designated CCO with independent authority over the compliance program
• Act as the firm’s primary point of contact with the SEC
• Maintain the firm’s policies and procedures, Code of Ethics, and Form ADV and amendments
• Conduct the annual compliance review
• Provide compliance advice and sign-off on marketing materials, customer disclosures, onboarding agreements and product changes
• Own books and records, communications monitoring, complaints handling, employee training, and access-person and personal-trading requirements
• Oversee key financial partners and vendors from a compliance standpoint
• Shape customer onboarding strategy with Product, Engineering and Customer Experience
• Build and maintain the firm’s anti-money laundering program

Required qualifications

• 8+ years in investment adviser compliance
• Prior experience as a CCO or deputy CCO of an SEC-registered adviser
• Experience in the fintech space
• Deep working knowledge of the Advisers Act and SEC expectations
• Direct experience supporting SEC examinations and interfacing with regulators
• Experience overseeing custodian, broker-dealer or sub-adviser relationships
• Sound, independent judgment to make and defend compliance decisions
• AI fluency and demonstrated experience using AI and automation to build and scale compliance programs
• Comfort operating as a standalone compliance lead in a fast-moving environment
• Experience building controls and leading program design initiatives in partnership with engineering teams and cross-functional partners

Nice to have

• Experience building or scaling a compliance program at a high-growth company
• Experience with cash management or fixed income strategies
• Experience with digital or technology-enabled advisory models

Benefits

• Flexible PTO
• Centralized home-office equipment ordering
• Health and wellness stipend
• Budget for intra-office travel
• Weekly coffee stipend
• 100% medical, dental & vision insurance coverage for you, with partial coverage for dependents (US)
• One Medical annual membership (US)
• 401(k), including employer match on contributions made while employed at Ramp (US)
• Fertility HRA (up to $10,000 per year) (US)
• Parental leave: up to 16 weeks (birthing + bonding) or 8 weeks (bonding only) at 100% pay (US)
• Pet insurance (US)
• In-office perks: lunch, snacks, drinks, and more (US)

About the company

Ramp builds smart infrastructure for finance teams to automate spend, authorize payments, flag risk, and close books. The company serves over 85,000 companies.