Compliance Lead Role

New

Skills

AI governance Compliance technology (ComplySci) FINRA compliance Global Relay Incident management Licensing (SIE, Series 7, Series 24) Policy development Regulatory filings SEC compliance Strong written communication

We are seeking a Compliance Lead to own the end-to-end compliance program for our Broker-Dealer (BD) and Registered Investment Adviser (RIA) operations, with a focus on AI governance. This role involves leading FINRA and SEC matters, managing regulatory filings and exams, and developing comprehensive compliance policies.

Key Responsibilities
  • Own the BD and RIA compliance program, including AI governance.
  • Lead all FINRA and SEC matters, including filings, exams, and controls testing.
  • Manage relationships with compliance consultants to ensure effective coverage.
  • Develop and update compliance policies across BD/RIA, including Reg SP, complaints, and books/records.
  • Oversee incident management, escalation processes, and trend reporting to the Head of Compliance.
  • Collaborate with Legal, Product, Finance, Marketing, Sales, and FinCrime teams.
Required Skills & Qualifications
  • 7+ years of experience in FINRA BD and SEC registered adviser compliance.
  • Proven track record of owning regulatory filings (BD/ADV/U4/U5/CRS) and exams.
  • Familiarity with compliance technologies (e.g., ComplySci, Global Relay) and AI governance.
  • Strong written communication skills, with the ability to defend documentation under regulatory scrutiny.
  • Active SIE, Series 7, and Series 24 licenses.
  • Experience in fintech-integrated RIA/BD and AI governance in regulated environments.

No forms. Your profile is generated instantly.

Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: Months

Share this job:

Similar Jobs

Cybersecurity Program Manager

Posted 80 days ago

Support and improve ISMS program.

Develop and manage security policies.

Business continuity planning CISSP or CISM certification Compliance management Cybersecurity frameworks

Senior Manager - Accounting Controls

Posted 79 days ago

Own and design internal controls framework.

Collaborate with engineering on workflows and safeguards.

AI governance Audit trail implementation Cross-functional communication Data provenance

GRC Program Manager

Posted 79 days ago

Promote a culture of trust within Dropbox.

Design and implement GRC programs.

AI governance Automation tools Communication skills Compliance program development

Senior Site Reliability Engineer

Posted 71 days ago

Enhance system reliability through platform improvements.

Utilize AI tooling for observability and incident response.

AI-driven observability tooling Automated rollback CI/CD Deployment patterns

Product Counsel

Posted 70 days ago

Advise on legal compliance and industry standards.

Review products for global legal obligations.

California Bar admission Collaboration with cross-functional teams Compliance knowledge Dispute resolution strategies

IT Operations Director

Posted 64 days ago

Lead global IT operations for a merged organization.

Manage a team across multiple countries.

CrowdStrike Entra ID Google Workspace Incident management

Legal Counsel Position

Posted 64 days ago

Advise teams on legal issues.

Support legal reviews of products.

Communications skills Contract drafting Cross-functional collaboration Data protection

Third-Party Risk Management

Posted 60 days ago

Establish TPRM policies and governance.

Make informed risk-based vendor decisions.

AI-enabled workflows Automation strategies Compliance management Due diligence processes

Governance Control Analyst

Posted 58 days ago

Provide governance guidance for financial services.

Implement policies to meet regulatory requirements.

Analytical skills Data analysis Financial analysis Governance frameworks

Production Support Engineer

Posted 52 days ago

Act as primary incident commander for outages.

Lead post-mortems and systemic improvements.

AWS CloudWatch ECS GitHub

Engineering Manager - Upgrades

Posted 51 days ago

Lead a globally distributed engineering team.

Enhance deployment and upgrade experiences.

Agile methodologies Cloud-native architectures Deployment tooling Helm

Societal Defense Researcher

Posted 31 days ago

The Societal Defense Researcher role at CARMA offers a unique opportunity to engage with pressing AI safety challenges and influence policy responses to emerging risks. This full-time, remote position emphasizes disaster preparedness for AI crises and the development of governance strategies. Ideal candidates will possess strong research and writing skills, with a background in public policy or related fields. Join CARMA in its mission to manage the risks posed by transformative AI systems and contribute to a safer future.

Assess vulnerabilities in societal systems due to AI.

AI governance Crisis management Disaster preparedness Emergency response planning

Backend Engineer, AI Governance

Posted 25 days ago

Join GitLab as an Intermediate Backend Engineer on the AI Governance team, where you'll play a crucial role in developing a product that enables regulated enterprises to audit and govern AI usage. This opportunity allows you to implement backend features, maintain test coverage, and work collaboratively with a talented team in a fully remote environment. If you're passionate about backend development and eager to make a real impact in the world of AI compliance, this role is perfect for you.

Implement backend features for enterprise AI auditing.

AI governance Automated testing Compliance tooling Event-driven architecture

Copyright IP Counsel

Posted 23 days ago

Join our team as a Copyright IP Counsel, where you will leverage your extensive experience in U.S. copyright law to guide research, product, and litigation teams. This role offers a unique opportunity to shape copyright strategy for emerging technologies while collaborating with cross-functional teams and engaging with industry experts. With a focus on creative problem-solving and exceptional communication, you will play a vital role in navigating the complexities of copyright in the evolving AI landscape.

Advise on copyright for product and litigation.

Cross-functional collaboration Emerging technology expertise International copyright frameworks Legal advising

Engineering Manager, GitLab Delivery

Posted 19 days ago

Join GitLab as an Engineering Manager, where you'll lead a globally distributed team focused on enhancing the deployment and upgrade experiences for GitLab customers. This role involves guiding technical direction in cloud-native architectures and Kubernetes, ensuring operational reliability and simplicity. As part of a forward-thinking company, you'll have the opportunity to co-create innovative solutions that transform software development practices globally.

Enhance operational reliability and simplicity for GitLab users.

Agile methodologies Cloud-native architectures Database lifecycle management Deployment tooling

ISO Compliance Manager

Posted 4 days ago

The ISO 42001 Compliance Manager role is an exciting opportunity to lead the ISO Certification program for AIMS, focusing on AI governance and compliance. The position involves conducting audits, remediating control gaps, and collaborating with stakeholders to ensure adherence to frameworks such as ISO, PCI, and NIST. If you have a strong background in ISO audits and are passionate about AI governance, this role offers a chance to make a significant impact in a dynamic environment.

Conduct external audits and assessments.

AI governance CISA CISSP Data governance

ISO Compliance Manager

New

Join Box as an ISO Compliance Manager where you'll spearhead the ISO Certification program for AIMS against ISO 42001. This role involves assessing AI governance, executing external audits, and driving compliance across various regulatory frameworks. With a focus on process improvement and innovative solutions, you'll play a critical part in enhancing Box's compliance landscape. This is a unique opportunity to lead in a dynamic environment and work collaboratively with cross-functional teams while leveraging your expertise in cybersecurity and compliance.

Assess AI governance with internal teams.

AI governance CIA CISA CISSP