Chief Compliance Officer (CCO)

The Company is seeking a Chief Compliance Officer to establish and lead its U.S. compliance function. Responsibilities include managing regulatory registration and ongoing oversight, developing supervisory procedures and programs for anti-money laundering, information security, business continuity, and ethics, and overseeing customer identification, monitoring, training, and independent reviews. The role will supervise registered staff and customer-facing activities, review public communications, and serve as the primary contact for regulators and a financial partner. The CCO will also advise business teams on compliance matters and scale the compliance function as operations grow. Candidates must hold a Series 3 qualification that supports registration and have at least five years of relevant compliance, registration, or registered experience in a regulated financial business. Practical knowledge of applicable regulatory rules, including registration, supervision, anti-money laundering, recordkeeping, information security, and business continuity, is required, along with experience handling examinations and regulatory correspondence. Strong written and spoken English and the ability to draft policies and communicate independently with regulators are essential. Experience with digital assets, derivatives, registration processes, or additional relevant certifications is an advantage.