Chief Compliance Officer - Broker Dealer/RIA - New York

Job Title: Chief Compliance Officer - Broker Dealer/RIA - New York
Contract Type: Permanent
Location: New York, USA
Salary: Negotiable
Reference: BBBH22336_1568236942
Contact Name: Ben Ellison
Contact Email:
Job Published: September 11, 2019 22:22

Job Description

Exciting FINTECH registered BD and RIA firm with strong ties to Asia markets is looking for an entrepreneurial compliance professional with 3/5 years of experience looking for a step up in their career.

The firm has around 10 offices in Asia with headquarters in Beijing, with a total headcount of around 100 employees. They have three offices in the US - NYC is the headquarter in the US
Couple key requirements:

  1. He/she will be the CCO of a registered broker dealer and RIA
  2. Direct broker dealer experience is a must
  3. Familiarity with securities act, securities exchange act and advisors act
  4. Strong ability to learn and grow in a fast-paced fintech startup environment
  5. Securities transaction will be focused on private placement of private investment vehicles. Therefore knowledge around Reg D, Reg S offering is a plus.
  6. Bilingual in Mandarin is a plus but not a requirement
  7. Series 7 and 63 are required prior to joining the firm. S24 is within 3 months of joining the firm. The individual will need to get S24 within 3 months of commencement.

Competitive base + ~20% bonus + potential equity on offer for the right candidate.
Exceptional career opportunity.

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