Chief Compliance Officer, Meridian Platform Securities

The role

You will serve as the firm's first in-house Chief Compliance Officer and own compliance end to end for a registered broker-dealer and placement agent. You will build the compliance framework, serve as Series 24 principal, and manage relationships with FINRA, the SEC, and state regulators.

What you will do

• Serve as the firm's designated CCO under FINRA Rule 3130 and own the Written Supervisory Procedures
• Be the deal team's compliance partner, reviewing diligence, marketing materials, private placement memoranda, and investor communications on deal timelines
• Pressure-test new product structures so they are built compliantly from day one
• Manage FINRA and SEC examinations, inquiries, and correspondence through resolution
• Run the annual compliance review and report findings to senior management
• Own registration and licensing across jurisdictions, including principals, registered reps, and state blue sky
• Maintain books and records under SEC Rules 17a-3 and 17a-4
• Manage outside counsel on regulatory matters
• Administer the firm's AML/BSA program
• Monitor FINRA, SEC, FinCEN, and state developments and translate them into policy

Required qualifications

• Active Series 24 in good standing
• 7+ years of compliance experience at a FINRA-registered broker-dealer
• 3+ years in a senior or lead compliance role
• Knowledge of private placements, Regulation D, secondaries, and how placement agents operate
• Experience managing FINRA cycle exams and regulatory inquiries yourself

Nice to have

• Experience with SPVs, fund administration, syndication platforms, or exempt offering structures
• Experience at an online broker-dealer or fintech (ideally)

Benefits

• Competitive base salary, benefits, and equity package
• Benefits supporting life in and outside of work (see company benefits page)

Before you apply

• Full details of the Total Rewards package are provided during the recruitment process
• Candidates who do not meet every requirement are still encouraged to apply

About the company

AngelList is building the financial system for private markets, including exchanges, custodians, brokers, and ways for ordinary people to invest. The company reports $200B+ in assets and 30,000+ startups funded on its platform.