Why This Is a Great Opportunity
- Be the trusted compliance authority for a growing portfolio of fintech clients, with real ownership of their programs
- Work at the forefront of fintech regulatory innovation, advising disruptive companies that are reshaping financial services
- Enjoy a fully remote role with genuine flexibility, backed by a sharp, collaborative, and mission-driven team
- Dive into exciting fintech verticals including digital assets, robo-advisers, neobanking, and beyond
- Earn performance bonuses tied to client and firm success
- Grow professionally with dedicated firm support for licensing, certifications, and continuing education
- Make a direct impact — your work protects innovative companies and helps them launch, scale, and thrive
Location: This is a fully remote opportunity — work from anywhere in the U.S. that suits your life. The team operates on Eastern Time (9:00 AM to 5:00 PM ET), and exceptional candidates based on the West Coast (Pacific Time) are encouraged to apply.
Note: This role requires direct, hands-on RIA compliance experience — specifically, having served as or directly supported a Chief Compliance Officer at a Registered Investment Adviser. Candidates without this background will not be considered.
About Us
We are a leading regulatory compliance and operations consulting firm serving financial services companies and fintechs since 2013. Our team of licensed compliance experts helps clients navigate complex regulatory environments, launch innovative products, and scale with confidence. We serve broker-dealers, RIAs, digital lenders, robo-advisers, crowdfunding platforms, and more — providing outsourced compliance leadership that executives, boards, and regulators trust. Many of our clients outsource their entire compliance function to us, and that trust is something we take seriously. Confidential Employer.
Job Description
- Own and manage full compliance programs for a portfolio of RIA clients as their outsourced Chief Compliance Officer
- Lead client engagements from strategy through execution, serving as the primary compliance advisor and trusted point of contact for executives and boards
- Mentor and coach junior consultants, reviewing their work and actively supporting their professional development
- Represent the firm in high-stakes meetings with C-suite leaders, boards, and regulators
- Design and continuously enhance tailored compliance programs aligned to SEC and state regulatory requirements
- Draft, update, and maintain compliance policies, procedures, manuals, and training materials that are clear, practical, and audit-ready
- Conduct compliance risk assessments, mock examinations, and annual reviews — including SEC Rule 206(4)-7 reviews
- Monitor SEC, FINRA, and state regulatory developments and proactively communicate their impact to clients
- Prepare and oversee regulatory filings including Forms ADV, U4, and other required documentation
- Guide clients through regulatory examinations and any remediation efforts
- Advise on both day-to-day compliance questions and long-term strategic regulatory matters
- Leverage AI-enabled consulting workflows to deliver scalable, tech-forward compliance solutions
Qualifications
Required:
- 3+ years of compliance experience in financial services with direct RIA compliance experience
- Experience serving as or directly supporting a Chief Compliance Officer at a Registered Investment Adviser
- Strong command of the Investment Advisers Act of 1940, Form ADV, the Marketing Rule, and Code of Ethics requirements
- Proven track record designing and managing compliance programs end to end
- Skilled at drafting compliance policies, procedures, and manuals
- Experience leading client relationships and managing complex engagements
- Ability to mentor and develop junior team members
- Familiarity with fintech business models and the regulatory landscape for emerging financial services
- Exceptional communication and presentation skills, including presenting to executives and regulators
- Bachelor's degree in Law, Finance, Business, or a related field; JD or relevant certifications a plus
- Self-starter who thrives independently in a fast-paced, fully remote consulting environment
Nice to Have:
- FINRA Series 7 and Series 24 licenses
- Broker-dealer compliance experience including FINRA rules, supervision, and suitability
- Background in fintech subsectors such as digital assets, payment processing, lending, or neobanking
- Familiarity with compliance technology platforms for KYC/KYB and transaction monitoring
- Prior consulting or professional services experience
Why You Will Love Working Here
- Our team is sharp, collaborative, and genuinely passionate about compliance done right — you will be challenged and supported in equal measure
- No two days look the same — every client engagement is unique, and the fintech landscape keeps your work constantly evolving
- We invest in our people through licensing support, certifications, and ongoing professional development
- As a senior consultant, your voice matters — you will shape how we work, how we advise clients, and how we develop the next generation of compliance talent
- We have built a culture of trust, excellence, and genuine care — for our clients and for each other
JPC-1179
Pay: $75,000.00 - $85,000.00 per year
Benefits:
- Dental insurance
- Paid time off
- Retirement plan
- Vision insurance
Application Question(s):
- Are you comfortable working fully remotely and operating primarily on Eastern Time (9:00 AM to 5:00 PM ET)?
- Briefly explain which role on your resume best aligns with this position and why. If you have any resume gaps, please briefly explain.
- In what city/state do you currently reside?
- What base salary range would you need to make a move? Pls keep it aligned with your directly relevant experience, as candidates seeking compensation above their experience level may not be considered.
- Y/N: Have you served as, or directly supported, a CCO at a Registered Investment Adviser?
Experience:
- RIA compliance and investment adviser: 3 years (Required)
Work Location: Remote
