Description:
A leading, venture-backed WealthTech firm is seeking a Head of Compliance to join its executive team. This is a high-impact role reporting directly to the CEO, ideal for a senior compliance professional who thrives in fast-paced, high-growth environments and is excited to shape the future of digital wealth management.
Responsibilities:
Governance & Oversight
- Serve as the Compliance Officer for the firm’s RIA and Broker-Dealer entities
- Lead all compliance operations, including SEC and FINRA-related matters
- Own regulatory filings, audits, annual reviews, and internal compliance infrastructure
Marketing & Sales Compliance
- Review and approve marketing, PR, and sales content for regulatory alignment
- Partner closely with the GTM team to enable fast, compliant growth
- Create scalable review workflows and internal training programs
Operational Enablement
- Stay ahead of evolving regulations and proactively adapt policies
- Work cross-functionally with product, investments, and platform teams
- Implement compliance tech tools and streamline documentation
Requirements:
- Bring 7–12 years of experience in compliance at a fintech, RIA aggregator, broker-dealer, or TAMP
- Have deep knowledge of SEC and FINRA regulations, including Reg BI, marketing rules, and custody requirements
- Understand how to build scalable compliance programs in dynamic environments
- Know how to communicate effectively across teams and with regulators
- Lead with sound judgment and a business-oriented mindset
- Are proactive, organized, and thrive in high-trust, high-growth settings