> Markdown version of [/jobs/ext/4625931-chief-compliance-officer](https://www.wearedevelopers.com/jobs/ext/4625931-chief-compliance-officer). Every page supports `.md` or `Accept: text/markdown`. Links point to the HTML versions so they work for humans too. Agent guide: [/agents.md](https://www.wearedevelopers.com/agents.md). --- # Chief Compliance Officer - **Company:** EQUITY STOCK TRANSFER, LLC - **Location:** New York, NY, United States - **Experience:** Expert - **Contract:** Permanent contract - **Skills:** Artificial Intelligence, Transaction Data, Nant - **Published:** November 7, 2026 - **Apply:** https://www.juju.com/job/28_25197_21e2c90f3d565c889f88ba13363eff0a ## About the Role * Excellent technical skills. This is a core requirement. You read transaction-level data and can tell whether the numbers are right. * Working command of the Exchange Act transfer agent rules (17Ac2-1 and 17Ac2-2; 17Ad-1 through 17Ad-20; 17f-1 and 17f-2), Regulation S-P and OFAC requirements. * 8+ years in compliance, operations or regulatory roles at an SEC-registered transfer agent, broker-dealer, clearing firm or depository, with at least 3 years leading a compliance function. * You have been the firm's point of contact in an SEC examination, from the request list through the on-site phase and the response to findings. * You have written compliance policies and procedures from scratch and kept them current. * Fluent, daily use of AI tools in compliance work: drafting and reviewing policies, summarizing rules and exam requests, analyzing transaction data. You know what to delegate, what to check yourself, and how to keep non-public information out of it. * Clear, direct writer. Much of this job is correspondence with regulators, issuers and vendors. * Preferred: direct transfer agent experience including DTC FAST, DRS and paying agent operations; multi-state unclaimed property; STA best practices; JD, CRCP, CAMS or a comparable credential. ## Description What the role involves. A transfer agent's compliance lives in its books and records: the transfer log, the control book, the lost-holder file, the notice that went to the depository the day an issuer came on. Someone has to own all of it, know the rules it answers to, and be the person across the table when the examiners arrive. At EST, that person is the Chief Compliance Officer. This role reports directly to the CEO, and it comes with the whole program. EST is an SEC-registered transfer agent serving more than 300 public and private issuers from Midtown Manhattan. We are a DTC FAST agent and DRS participant, a paying agent, and the U.S. co-transfer agent for issuers of four Canadian transfer agents. Since January 2026 we have been part of Nant Global Finance. Compliance here has been run by operations leadership with outside counsel. The CCO takes it over and builds it out. The job is the Exchange Act transfer agent rules, applied every day: Forms TA-1 and TA-2, turnaround under 17Ad-2, recordkeeping under 17Ad-6 and 17Ad-7, record differences and the annual accountant's report under 17Ad-10 through 17Ad-13, lost securityholders under 17Ad-17, depository notices under 17Ad-16, Regulation S-P, OFAC. You will write the procedures, test the work against them on two recordkeeping platforms, lead examinations from first request to closing letter, and report to the CEO and the parent company. You are measured on two things: whether the Firm is in compliance, and whether we can prove it., * Own Forms TA-1 and TA-2: annual reports on time, amendments within 60 days of any change in ownership, control or officers; keep registration, SIC and fingerprinting records current. * Maintain the compliance manual as a living document: a procedure for every rule that applies to us, each with an owner, a version history and a documented annual review; reconcile it to how the work is actually done. * Monitor turnaround against Rule 17Ad-2 every month, with figures that tie to the detail records and to Form TA-2; oversee the 17Ad-6 and 17Ad-7 recordkeeping program, record differences and aging under 17Ad-10 and 17Ad-11, control books, and the annual 17Ad-13 accountant's report. * Ensure Rule 17Ad-16 depository notices go out for every issuer onboarded or terminated. * Own the lost securityholder and unresponsive payee program under Rule 17Ad-17 and oversee unclaimed property reporting across all states; oversee paying agent controls, signature guarantee standards (17Ad-15) and lost and stolen securities reporting (17f-1). * Own the Regulation S-P program: safeguards, disposal, incident response, customer notification and service-provider oversight; own OFAC screening, from the written procedure to the evidence that it ran. * Run a testing and surveillance calendar across both recordkeeping platforms; document findings; report to the CEO and the parent company. * Lead SEC examinations and regulatory inquiries from first request to closing letter; deliver annual compliance training; oversee vendors that touch securityholder records; manage outside compliance counsel.