Fractional Chief Compliance Officer

Serve as outsourced Chief Compliance Officer for a fintech broker-dealer. Responsibilities include maintaining WSPs and compliance manuals, leading annual compliance activities and supervisory testing, managing FINRA and SEC exams, reviewing marketing and digital communications, overseeing AML, cybersecurity, Reg S-P, and vendor due diligence programs, advising on new products, and monitoring regulatory changes. Requires extensive broker-dealer compliance experience, active securities licenses, fintech knowledge, and strong communication skills., [Firm Name] is a fast-growing FinTech broker-dealer. We’re looking for an experienced, independent Chief Compliance Officer to lead our compliance program on an outsourced basis. You’ll be a trusted partner to our leadership team, helping us grow while staying fully compliant with FINRA and SEC rules.

What You’ll Do

• Serve as the firm’s designated Chief Compliance Officer.
• Own and update our Written Supervisory Procedures (WSPs) and compliance manual.
• Lead the annual compliance meeting, annual CEO certification (Rule 3130), and supervisory control testing (Rule 3120).
• Prepare for and manage FINRA and SEC exams, inquiries, and document requests.
• Review marketing, app content, push notifications, and social media for Rule 2210 compliance.
• Oversee AML, cybersecurity, Reg S-P, and vendor due diligence programs.
• Advise on new products, including private placements, digital assets, and trading platform features.
• Monitor regulatory changes and keep leadership informed in plain language., Lead backend engineering for authentication and authorization services operating at extreme scale. Design distributed cloud systems, APIs, storage, and scalable architectures handling billions of authorization decisions and millions of events per second. Collaborate across teams, mentor developers, improve performance and reliability, contribute to open source, and apply AI technologies to enhance workflows and decision-making. Top Skills: AWSElasticsearchGCPGitGoGrpcJwtKafkaOauthOidcOpenfgaPostgresRedisSAMLSpicedbSsoZanzibar CrowdStrike

Software Engineer

A Minute Ago Remote or Hybrid 120K-185K Annually Entry level 120K-185K Annually Entry level Cloud * Computer Vision * Information Technology * Sales * Security * Cybersecurity Develop and maintain CrowdStrike’s macOS endpoint security sensor using C/C++ and Swift. Design, implement, and own features across operating-system subsystems including filesystems, memory, processes, and networking. Build reliable, high-performance, multithreaded software, troubleshoot customer-reported issues, collaborate with distributed teams, and use AI technologies to improve workflows and decision-making. Top Skills: CC++CybersecurityEndpoint ProtectionLinuxmacOSMultithreadingNetworking ProtocolsSwiftWindows CrowdStrike

• Licenses: Active Series 24 (General Securities Principal) and Series 79 (Investment Banking Representative), plus the SIE.
• Clean record: No disclosures on FINRA BrokerCheck and a clean Form U4.
• At least 10 years of broker-dealer compliance experience, including at least 3 as a CCO or senior compliance officer.
• FinTech, app-based, or digital asset experience.
• Hands-on knowledge of FINRA exams, Reg BI, AML, and electronic communications rules.
• Clear writing and the ability to explain complex rules simply.

Nice to Have

• Experience with ATS operations, private placements, or crypto-related securities, working with technologists in understanding FINRA, SEC , and Anti-Money Laundering regulations
• Familiarity with compliance tools such as Smarsh, Global Relay, or project management tools like ASANA
• Familiarity with AI tools such as Copilot, Claude, Chat GPT

A Minute Ago Hybrid 120K-185K Annually Senior level 120K-185K Annually Senior level, A Minute Ago Hybrid 160K-260K Annually Senior level 160K-260K Annually Senior level Cloud * Computer Vision * Information Technology * Sales * Security * Cybersecurity Design and develop high-reliability, highly concurrent Linux security sensor software for large-scale environments. Lead technical proposals, design reviews, planning, debugging, incident resolution, testing improvements, and cross-team architecture discussions. Mentor junior engineers, communicate technical tradeoffs, and influence engineering direction. Work across kernel, memory, process, filesystem, and networking subsystems, with opportunities to use eBPF and endpoint security technologies. Top Skills: CC++EbpfLinuxLinux KernelMultithreading

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