Brokerage and RIA Chief Compliance Officer
ARQ is a financial services platform that lets users in Latin America hold global currencies, make cross-border payments, invest in international markets, and spend worldwide with a card.
Funding history
Projects
About ARQ ( Prev DolarApp )
ARQ serves travelers, investors, and professionals across Latin America who need access to global currencies and financial markets. Users can hold digital dollars and euros, receive and send international payments via dedicated US and European account details, invest in US stocks and ETFs, and spend globally with a card at market conversion rates. The platform is available across Mexico, Argentina, Colombia, and Brazil.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will lead securities compliance activities for an SEC-registered investment adviser and an introducing broker-dealer. You will administer compliance programs, develop supervisory procedures, oversee digital investment-advice controls, manage regulatory filings and examinations, and coordinate operational compliance with internal stakeholders and external providers.
Requirements
- 10+ years of progressive securities compliance experience
- Prior service as CCO for an SEC-registered investment adviser or FINRA broker-dealer
- FINRA Series 24 qualification
- Experience supporting or leading a FINRA New Member Application
- Knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules
- Experience with fully disclosed introducing broker-dealers and clearing firms
- Experience administering RIA annual reviews, marketing reviews, conflicts controls, codes of ethics, regulatory filings, and examinations
- Experience with digital investment platforms, automated advice, and self-directed brokerage
- Ability to coordinate with a BSA/AML Officer and outsourced FINOP
- Strong writing, regulatory engagement, decision-challenging, and communication skills
Responsibilities
- Administer the RIA compliance program, including policies, risk assessments, monitoring, testing, annual reviews, and compliance calendars
- Lead the FINRA New Member Application and launch-readiness process
- Develop written supervisory procedures and lead the broker-dealer compliance framework
- Oversee controls for automated investment advice and self-directed trading
- Review investment marketing, promotions, app content, and customer communications
- Manage Form ADV, Form CRS, Form BD, registrations, continuing education, and customer disclosures
- Maintain codes of ethics and controls for personal trading, outside business activities, gifts, and conflicts
- Oversee introducing and clearing broker compliance, account opening, order handling, transfers, and complaints
- Maintain books and records, communications retention, privacy, safeguarding, and incident-response controls
- Lead SEC and FINRA examinations, audits, remediation, and employee training
Benefits
- Equity
- Flexible PTO
- Sign-on equity bonus
- Hybrid working arrangement
- Access to modern technology tools
