Chief Compliance Officer – Brokerage, RIA

ARQ

. Administer the RIA’s compliance policies, risk assessment, monitoring, testing, documented annual review, and compliance calendar; report material risks and remediation progress to leadership.

Posted 11/9/2026full-timeNew York City • New York • United StatesLeadWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in securities compliance, including managing compliance policies, risk assessments, and regulatory filings. Proficient in leading FINRA New Member Applications and overseeing compliance frameworks for investment advisers and broker-dealers.

Highest-signal resume keywords

10+ Years Securities Compliance ExperienceFINRA Series 24 QualificationExperience Leading FINRA NMAStrong Knowledge of Investment Advisers ActExperience with Digital Investment Platforms

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Policies AdministrationRisk AssessmentSupervisory Procedures DevelopmentRegulatory Filings ManagementCompliance Controls OversightInvestment Marketing ReviewCode of Ethics MaintenanceIncident Response ManagementPortfolio Methodology TestingClient Questionnaire Oversight

Soft Skills

Strong WritingSound JudgmentEffective CoordinationConfidence in Engaging RegulatorsAbility to Explain Solutions

Tools & Technologies

Digital Investment PlatformsAutomated Advice SystemsCompliance Management SystemsRisk Profiling ToolsCustomer Communication Systems

Certifications & Qualifications

FINRA Series 24

Industry Keywords

RIA ComplianceFINRA RegulationsSEC StandardsInvestment Advisers ActBroker-Dealer ComplianceSelf-Directed TradingBSA/AML CoordinationRegulatory ResponsesClient Delivery ObligationsSupervisory Testing

About the role

Key responsibilities & impact

Administer the RIA’s compliance policies, risk assessment, monitoring, testing, documented annual review, and compliance calendar; report material risks and remediation progress to leadership.
Help lead the FINRA New Member Application with FINRA, counsel, and internal teams; develop written supervisory procedures, prepare supporting materials, respond to information requests, participate in the membership interview, and verify launch readiness.
Build and lead the compliance and supervisory framework for a fully disclosed introducing broker offering self-directed trading.
Establish supervisory responsibilities, account and transaction reviews, supervisory testing, escalation processes, and required annual reporting.
Oversee compliance controls for automated, non-discretionary investment recommendations, including client questionnaires, risk profiles, portfolio methodology, algorithm testing, change management, ongoing monitoring, disclosures, and separation from independent customer trading.
Review investment marketing, performance presentations, promotions, app content, and customer communications against SEC and FINRA standards; maintain approval records and electronic communications supervision.
Manage Form ADV, Form CRS, Form BD, relevant amendments, client delivery obligations, individual registrations, continuing education, advisory agreements, and customer disclosures.
Maintain the code of ethics and controls for personal trading, outside business activities, gifts and entertainment, affiliate conflicts, fiduciary duties, custody implications, fees, and collateral arrangements.
Oversee compliance with introducing and clearing responsibilities, including account opening, order handling, best execution obligations, transfers, and customer complaints; coordinate with the clearing broker and outsourced FINOP.
Maintain compliant books and records, communications retention, privacy and safeguarding controls, complaint handling, incident response, and customer notification processes.
Lead SEC and FINRA examinations and inquiries, coordinate audits and remediation, train employees, and partner with the BSA/AML Officer on investment-related financial crime risks.

Requirements

What you’ll need

10+ years of progressive securities compliance experience, with prior service as CCO for an SEC-registered investment adviser or FINRA broker-dealer.
FINRA Series 24 qualification required.
Direct experience supporting or leading a FINRA NMA, including supervisory procedures, regulatory responses, membership interviews, and preparation for launch.
Strong knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules covering supervision, communications, records, registrations, and customer protection.
Experience with fully disclosed introducing broker-dealers and clearing firms, including the division of compliance and operational responsibilities.
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, including translating requirements into product and technology controls.
Ability to coordinate effectively with a dedicated BSA/AML Officer and outsourced FINOP while maintaining clear ownership of the securities compliance program.
Sound judgment, strong writing, and the confidence to engage regulators, challenge decisions, and explain practical solutions to senior leadership and technical teams.

Benefits

Comp & perks

Competitive salary and equity - you share in our success
Hybrid working role
Flexible PTO and a “trust-first” culture
Sign-on equity bonus
Access to the latest tech and a modern tool stack
Work with a high-calibre team building the future of finance across LATAM