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Chief Compliance Officer

3 months ago

Palo Alto, United States Fintech Trading Start Up Full time
Compliance Officer (CO)

Compensation:

  • Salary: Six-figure starting salary
  • Equity: Significant equity stake with potential for growth

Location: Palo Alto/Mountain View, CA (Hybrid/Remote)

About Us: We are an innovative fintech startup set to revolutionize the prediction markets industry. Our platform empowers users to create, invest in, and share their own predictions, turning insights into actionable data. Imagine the dynamics of Twitter merged with the thrill of financial markets—this is where innovation meets opportunity.

Position Overview: Are you a compliance expert with a strong background in finance, economics, or government? We're searching for a dynamic Compliance Officer (CO) to lead our regulatory and compliance efforts. This is a unique opportunity to join a fast-growing startup at the forefront of fintech innovation.

Responsibilities:

Regulatory Leadership:

  • Develop and implement compliance policies and procedures to ensure adherence to CFTC regulations.
  • Lead the preparation and submission of the CFTC DCM designation application, including drafting bylaws, rules, and other necessary documentation.

Documentation and Reporting:

  • Maintain and update all compliance documentation, ensuring it meets regulatory standards.
  • Prepare and submit regular compliance reports to regulatory bodies.

Collaboration and Guidance:

  • Work closely with the legal team to interpret and apply regulatory requirements.
  • Provide guidance and training to employees on compliance-related matters.
  • Collaborate with other departments to ensure company-wide compliance.

Strategic Partnerships:

  • Engage with regulatory bodies, financial institutions, and other stakeholders to facilitate compliance efforts.
  • Represent the company in discussions with regulators and industry groups.

Monitoring and Auditing:

  • Conduct regular compliance audits and risk assessments.
  • Implement corrective actions to address any compliance issues identified.

Requirements:

Experience:

  • Proven experience in a compliance role within the finance, economics, or government sectors.
  • Extensive knowledge of CFTC regulations and the application process for DCM designation.
  • Experience in drafting and managing compliance documentation.

Skills:

  • Strong understanding of financial regulations and compliance requirements.
  • Excellent written and verbal communication skills.
  • Ability to work independently and as part of a team.
  • Strong analytical and problem-solving skills.

Education:

  • Bachelor's or Master's degree in Finance, Economics, Law, or a related field.

Why Join Us?

  • Be part of a mission-driven company that’s transforming the prediction markets industry.
  • Work in a collaborative and innovative environment where your contributions make a real impact.
  • Competitive salary with significant equity and opportunities for professional growth and development.