Head of Compliance
Cache
Location: Remote
Description
We are seeking an experienced Head of Compliance to oversee our broker-dealer and investment advisor compliance programs. In this role, you will serve as the designated compliance officer, ensuring our organization adheres to all relevant securities laws, financial regulations, and industry standards. Your main goal will be to develop, implement, and manage a comprehensive compliance program that both protects our operations and enhances our reputation.
Reporting to senior leadership, you will collaborate with both operations and investment teams to set compliance objectives and strategies, identify risk areas, and devise plans to mitigate these risks. You will also analyze and interpret complex regulatory requirements, provide guidance and training to staff, and oversee internal audits and investigations.
The ideal candidate will have a solid background in compliance and a thorough understanding of the laws and regulations applicable to our industry. You must have excellent analytical skills, meticulous attention to detail, and the capability to communicate complex information effectively to various stakeholders. Given our company's size, flexibility and readiness to take on multiple roles is expected.
This position offers a unique opportunity to join a dynamic team and significantly impact our compliance efforts. If you are a strategic thinker, problem solver, and collaborative leader, consider applying for the position of Head of Compliance at Cache.
Responsibilities
- Develop and implement a comprehensive compliance program that aligns with our organization's strategic objectives
- Monitor and ensure compliance with all relevant laws, regulations, and industry standards
- Conduct regular risk assessments and implement measures to reduce compliance risks
- Stay up-to-date with changes in regulatory requirements and industry best practices
- Provide guidance and training to employees on compliance issues and requirements
- Oversee internal audits and investigations to identify potential compliance violations
- Develop and maintain effective relationships with regulatory authorities and industry organizations
Requirements
- Bachelor’s degree in business, finance, or a related field; Juris Doctor (JD) degree preferred.
- At least 5 years of experience as a compliance officer within a registered broker-dealer and/or investment advisory environment.
- Extensive experience working with regulatory bodies such as FINRA and the SEC.
- Required Licensure: Active Series 7, Series 24, and Series 63/66 licenses.
- Deep understanding of relevant laws and regulations in the financial services industry. Previous experience with private funds is a plus.
- Demonstrated ability to develop and implement effective compliance programs.
- Excellent analytical and problem-solving abilities.
- Extreme attention to detail, along with the capacity to juggle multiple projects simultaneously.
- Outstanding communication and interpersonal skills.
To apply, please email resume to elisa@usecache.com.
About
Cache is a fintech startup based in San Francisco, and backed by First Round, Quiet, and some of the savviest angel investors in tech and finance.
We are a brokerage designed specifically for large stock positions. If a significant portion of your portfolio is in individual stocks, we have products to reduce your risk, generate passive income, and get efficient liquidity. Access the products used by the ultra-wealthy to manage concentrated stock exposures.