Chief Compliance Officer
Options AI is a technology-first brokerage firm seeking a dynamic and versatile compliance leader to play an integral role in contributing to its rapid growth. Joining a firm innovating in brokerage, the successful candidate will not only have a strong understanding of the regulatory framework and experience of working within retail options brokerage but will also be a strategic thinker who enjoys the challenges of solving problems in a high growth environment.

The Role:

  • Chief Compliance Officer reporting to CEO
  • Oversee the management of all aspects of compliance, including regulatory compliance, customer KYC and suitability, AML, and employee continuing education
  • Review and ensure that all required and of the firm’s policies and procedures are clear and robust and that books and records are properly maintained
  • Support management team in providing guidance and input for ongoing growth and expansion strategies
  • Review options related to advertising material and coordinate where required with regulators
  • Perform all required regulatory filings, ensuring all records are in compliance and up to date, including Form BD, etc.
  • Manage and coordinate FINRA and SEC regulatory examinations and information requests, including written responses
  • Assist in hiring of employees and due diligence on third-party vendors
  • Ensure the firm’s AML policies meet the highest standards
  • Provide compliance lead on business expansion and customer acquisition strategies, as well as into alternative asset classes
  • The role requires an individual to go far beyond taking ownership of routine compliance procedures and issues and to become an integral part of the firm’s dynamic leadership team – solving problems, evaluating risks, controlling issues, and implementing scalable strategies within the prevailing regulatory environment

Required Skills and Experience:

  • 5+ years of experience in senior compliance roles in retail-facing online brokerage
  • Compliance experience in both equities and equity options
  • A keen understanding of crypto assets and crypto options, with a desire to become a thought leader in this rapidly evolving regulatory space
  • Experience in managing (leading) regulatory examinations
  • Proven ability to problem-solve and take-on projects with minimal guidance
  • Flexibility and adaptability solving complex problems and implementing rapid solutions in a fast-paced environment
  • Series 7, 24 and 4 required
If you’re interested, we’d love to hear from you! Reach out with your resume to [email protected]
Last modified 8mo ago