Olive Jobs
Moment logo

Chief Compliance Officer

Moment

New York, NYHybridFull-time$260–290K/yrPosted 2mo agoVerified open 3 days ago
Evaluate my fit

Most applications go out cold — see where you stand first. No sign-up to start.

Don't just apply. Show up ready.

Olive works from this exact posting — no sign-up to start.

Evaluate your fitSee where you stand — strengths, gaps, and what to fix first.Get started →Tailor your résuméRewritten against this posting, with a diff of every change.Get started →Practice the interviewA voice mock interview built from this job description.Get started →

At a glance

Compensation
$260–290K/yr
Location
New York, NYHybrid
Schedule
Full-time
Work Authorization
Not specified

Requirements

Credentials this posting asks for.

Series 7Series 24Series 63 Or 66

Job overview

Moment is hiring a Chief Compliance Officer. Moment seeks a Chief Compliance Officer to lead and expand RIA and Broker‑Dealer compliance programs, oversee regulatory filings, risk assessment, surveillance, and firm‑wide training while working closely with founders, legal, product, engineering, and trading teams in New York.

Key focus areas include Expand and own the RIA and BD compliance programs end to end, Provide effective risk assessment and management, and Own surveillance and monitoring across both entities.

Successful candidates bring CCO Or Deputy CCO Of SEC-Registered IA, CCO Or Deputy CCO Of Broker-Dealer, and Series 7. Important skills include Compliance Program Management, Risk Assessment, Regulatory Risk Management, Surveillance And Monitoring, New Product Review, and Regulatory Examinations Management. Preferred (not required): Fixed-Income Background, Wealth-Tech Background, Scaling RIA Compliance Program, and Scaling BD Compliance Program.

Skills & qualifications

RequiredNice to have

Skills

Compliance Program ManagementRisk AssessmentRegulatory Risk ManagementSurveillance and MonitoringNew Product ReviewRegulatory Examinations ManagementRegulator Relationship ManagementCompliance TrainingSEC Rules and RegulationsFINRA Rules and RegulationsHands-on ApproachSound Judgment Under AmbiguityEnabling Business SafelyFixed-Income BackgroundWealth-Tech BackgroundScaling RIA Compliance ProgramScaling BD Compliance ProgramBuilding AI Agents for Compliance

Qualifications

CCO or Deputy CCO of SEC-Registered IACCO or Deputy CCO of Broker-DealerSeries 7Series 24Series 63 or 66Managed SEC Examinations DirectlyManaged FINRA Examinations Directly

Benefits

Medical Insurance
Dental Insurance
Vision Insurance

Full job description

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 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.

About Moment 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.

The Role 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.

What You'll Do

  • 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’re a good fit if you have

  • 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

Even better if you have

  • Fixed-income or wealth-tech background.

  • Effectively scaled an RIA and/or BD compliance program.

  • Built AI agents to scale compliance policies & procedures.

Compensation & Benefits

  • 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

You've read the whole posting — now see how you match it.

Evaluate my fit