Chief Compliance Officer
Benefits
Unlimited PTO
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What you will do:
- Build, own, and scale the compliance program for the entity you serve as CCO of, working closely with the other CCO and cross-functional teams.
- Serve as primary liaison with FINRA, SEC, and state regulators, managing exams, inquiries, and filings.
- Oversee supervision, surveillance, KYC/AML, and marketing review to ensure regulatory compliance.
What you bring:
- Active FINRA Series 7 and 24 licenses required for BD, and significant experience with RIAs or BDs.
- A track record of building and scaling compliance programs at a technology-driven firm, preferably fintech.
- Excellent communication skills and comfort with the ambiguity of an early-stage company.
What we offer:
- Base salary of $180,000–$260,000 with meaningful equity ownership.
- Fully paid health, vision, and dental insurance, plus a 401(k) plan.
- Flexible PTO, monthly wellness allowance, and catered lunch in our offices.
Frec
Frec is a fintech company that builds tax-aware investment tools to help investors keep more of their earnings. They have grown rapidly with over $1 billion in customer assets and are backed by Greylock Partners, fostering a fast-paced, customer-centric culture.