Chief Compliance Officer - Remote

Overview

Linqto Capital LLC is seeking a Chief Compliance Officer who will lead the Compliance team and oversee the related compliance and regulatory functions, ensuring adherence to SEC and FINRA regulations while managing and mitigating risks.

In Short

• Serve as the firm’s FINRA-designated CCO.
• Stay updated on regulatory requirements and advise on compliance risks.
• Oversee the firm's Anti-Money Laundering program.
• Conduct annual compliance reviews and risk assessments.
• Supervise registered representatives to ensure compliance.
• Lead compliance training programs for all employees.
• Maintain the firm’s Written Supervisory Procedures (WSPs).
• Identify policy enhancements based on regulatory developments.
• Review marketing for compliance with FINRA rules.
• Communicate changes in regulations to business units.

Requirements

• 10+ years in broker-dealer compliance.
• Current FINRA Series 24 (Principal) license required.
• In-depth knowledge of SEC and FINRA regulations.
• Experience managing regulatory examinations.
• Strong familiarity with Reg D offerings.
• Excellent leadership and communication skills.
• Oversight of data privacy compliance.
• Strong attention to detail.
• Proficiency with Microsoft 365 applications.

Benefits

• Compensation Range: $200,000-$250,000.
• 100% employee paid medical, dental, vision, Telehealth.
• Unlimited Paid Time Off (Open PTO).
• 401(k) plan.
• Flexibility of remote working.
• Equity stock options package.