New York, New York, United States · On-site
$200k–$300k/yr
Chief Compliance Officer Team: Legal & Compliance Location: New York, NY Work mode: Onsite / Hybrid Comp: $260-$290K base + equity Build the future of investment management with us The infrastructure managing $300 trilli…
Skills: Compliance Program Management, Regulatory Filings, SEC Relations, FINRA Relations, Risk Management
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The CCO will own and improve the compliance programs for the RIA and Broker-Dealer subsidiaries, serving as the primary contact for the SEC and FINRA. They will partner with product and engineering teams to integrate compliance rules directly into the AI platform's systems.
Candidates must have experience as a CCO or Deputy CCO of an SEC- or state-registered RIA and hold Series 7, 24, and 63/66 licenses. Direct experience managing SEC or FINRA examinations is required.
Team: Legal & Compliance
Location: New York, NY
Work mode: Onsite / Hybrid
Comp: $260-$290K base + equity
The infrastructure managing $300 trillion in assets was built in the 90s. Now, all of it is up for grabs. The winner of the AI era of investment management will be a $100B+ company. We intend to be that company.
To get there, we're assembling the most talent-dense startup in New York. We hire people who are 1) exceptional, 2) allergic to anything that's not exceptional, and 3) recruiters of other exceptional people. We also have no tolerance for brilliant jerks.
We run lean by design. We work with a select group of the largest financial institutions in the world, go incredibly deep with each, and sit in the flow of trillions of dollars. We hire fewer people, ask each to own the outcome, and pay on impact - not tenure or experience.
Moment is not for everyone. The standards are unreasonably high. The pace is intense. And there is no playbook.
In return: the best work of your career, building a generational company.
Moment is the AI operating system for investment management, built for the world's largest wealth firms and fintechs. Moment works with firms managing more than $10 trillion in client assets and is backed by Index, a16z, and Lightspeed. Moment was founded by former quants from Citadel and Jane Street and is based in NYC.
We’re hiring a Chief Compliance Officer (CCO) for our RIA and Broker-Dealer. The CCO will lead and oversee our compliance programs for each of our RIA and Broker-Dealer entities. As a senior member of the team, you'll interact with regulators on behalf of both entities, and partner daily with founders, legal, product, engineering, trading, and portfolio management.
Expand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review. You'll monitor the effectiveness of established compliance processes and controls across the businesses, and recommend and implement enhancements.
Provide Effective Risk Assessment and Management: proactively identify and asses inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
Own surveillance and monitoring across both entities: own ongoing testing, employee oversight, pre-clearance, personal trading reviews, gifts and entertainment, and political contributions.
Own new product and business review: clear new features, account types, and business lines before they go live, including owning relevant license applications to expand business lines and features. You'll be the partner who lets the platform move fast while doing so safely and in compliance with applicable laws, rules and regulations.
Own examinations and regulator relationships: serve as the primary point of contact for the SEC and FINRA. You'll manage exams, respond to inquiries, and build credibility with regulators.
Own firm-wide compliance training and culture: set the tone, build the training, and ensure compliance is embedded as a part of the firm’s DNA.
Own how compliance gets built into the product: work side-by-side with engineers to turn rules into systems so compliance scales with the platform. You'll advise the firm on applicable SEC and FINRA rules and regulations, including interpretive guidance.
You've been the CCO or Deputy CCO of an SEC-registered IA and/or Broker-Dealer
Comfortable being hands-on at a startup: you write the policy and you implement it.
You hold a Series 7, 24, 63 (or 66)
You've managed SEC and/or FINRA examinations directly, from document requests through resolution.
Sound judgment under ambiguity with a bias for enabling the business safely
Fixed-income or wealth-tech background.
Effectively scaled an RIA and/or BD compliance program.
Built AI agents to scale compliance policies & procedures.
Base salary: $260K to $290K
Equity: Aggressive initial grant + annual performance-based bonuses
Our beautiful West Village Office with a terrace
Free lunch and dinner when in-office.
$150 monthly gym/wellness stipend.
Health, dental, and vision coverage. 100% company reimbursement
Solving the hardest problems in investment management.
Moment is the AI operating system for investment management, built for the world's largest wealth firms and fintechs. Moment works with firms managing more than $10 trillion in client assets, including Edward Jones, LPL Financial, and Hightower Advisors and is backed by Index, a16z, and Lightspeed.
Offices: New York, US · 395 Hudson St, Floor 10, New York, NY 10014, US
Solving the hardest problems in investment management.
Moment is the AI operating system for investment management, built for the world's largest wealth firms and fintechs. Moment works with firms managing more than $10 trillion in client assets, including Edward Jones, LPL Financial, and Hightower Advisors and is backed by Index, a16z, and Lightspeed.
Offices: New York, US · 395 Hudson St, Floor 10, New York, NY 10014, US
