Moment
Chief Compliance Officer
New York, NY · Exec
Sponsorship not specified$260k-$290kDetected 26 days ago
Agentic AI
About the role
- We're hiring a Chief Compliance Officer (CCO) for our RIA and Broker-Dealer.
Responsibilities
- 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 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.
- Comfortable being hands-on at a startup: you write the policy and you implement it.
- You've managed SEC and/or FINRA examinations directly, from document requests through resolution.
- You'll monitor the effectiveness of established compliance processes and controls across the businesses, and recommend and implement enhancements.
- proactively identify and asses inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
Compensation
- $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.
- 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.
Benefits
- $260-$290K base + equity
Company info
- 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.
- set the tone, build the training, and ensure compliance is embedded as a part of the firm's DNA.
- 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.
This listing is sourced directly from Moment's careers page and normalized into a canonical job model.