Chief Regulatory Officer (CRO)

Chief Regulatory Officer (CRO)

About the Company

Accomplished financial technology (FinTech) company specializing in payments, banking, & capital markets solutions

Industry

Information Technology and Services

Type

Privately Held

About the Role

The Company is seeking a Chief Regulatory Officer (CRO) to take the lead in all regulatory and compliance functions for its registered broker-dealer and RIA. The successful candidate will be responsible for developing and executing a compliance strategy that is in line with the company's growth goals. This includes managing relationships with various regulatory bodies and overseeing the response to audits and inquiries. The CRO will also be tasked with supervising and mentoring a compliance team, designing and automating compliance workflows, and collaborating with executive leadership, legal, and product teams to ensure that compliance operations are in sync with business initiatives. Applicants for the CRO position at the company should have a proven track record in regulatory and compliance management within the financial services industry. The role requires the ability to anticipate and address regulatory challenges, as well as to provide innovative solutions. A key aspect of the job is to represent the organization on industry committees and regulatory working groups. The ideal candidate will have a deep understanding of the regulatory landscape, including FINRA, SEC, and state regulations, and be adept at fostering a high-performance culture within the compliance team. A forward-thinking approach and the ability to design scalable, risk-reducing compliance processes are essential.

Travel Percent

Less than 10%

Functions

• Finance