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]