Job Description

About the team + role

The TradePMR team empowers financial professionals with innovative technology and unparalleled support tailored to the unique needs of the RIA community. We are a custodial services and technology provider offering a robust platform including portfolio management, digital account opening, and advanced trading tools to help advisors streamline operations and grow their practices.

The Chief Compliance Officer is responsible for ensuring compliance with all state and federal laws and FINRA rules and regulations. This includes reviewing all potential RIA firms and assessing any potential risks to the firm.

The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.

What you’ll do

Provide strategic executive leadership for the firm's compliance and legal operations.
Responsible for the building and maintenance of the broker-dealer compliance program.
Continuously develop and refine internal controls, policies, and supervisory procedures ensuring compliance with regulatory requirements and adapting to business needs and regulatory changes.
Collaborate directly with the rest of the executive team to mitigate risk - proactively identifying trends and adapting the compliance program appropriately; Conducting annual risk assessments and establish key controls to mitigate those risks.
Act as AMLCO - build, test, and maintain a comprehensive AML program, including annual reviews and certifications.
Lead the development, implementation and maintenance of the Cybersecurity Program.
Act as the primary point of contact for all regulatory inquiries and examinations; stay current on FINRA Rules, the Investment Advisers Act of 1940, and other relevant securities laws.
Develop and implement regular and ongoing compliance training for company personnel and serve as a resource for all RIA compliance issues.

What you bring

Bachelor’s Degree or equivalent experience in Finance or a related field; Series 7/24 required; S53 preferred.
10+ years of proven experience, with at least 5 years in executive-level compliance; IACCP® preferred.
Strong technical and practical knowledge of the Financial Securities Industry and its rules and regulations.
Impeccable integrity, ethics and values that are demonstrated through sound judgment.
Exemplary interpersonal skills and ability to effectively communicate with colleagues at every level, as well as regulatory authorities.
Proven track record of navigating legal matters and anticipating liabilities as laws, regulations, products, and technology evolve.

What we offer

Market competitive and pay equity-focused compensation structure
100% paid health insurance for employees with 90% coverage for dependents
Annual lifestyle wallet for personal wellness, learning and development, and more!
Lifetime maximum benefit for family forming and fertility benefits
Dedicated mental health support for employees and eligible dependents
Generous time away including company holidays, paid time off, sick time, parental leave, and more!
Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits