Landing Point
Head of Compliance (FinTech Experience)
Landing Point - New York, New York, us, 10261
Work at Landing Point
Overview
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Overview
Location:
Midtown Manhattan (5 days in-office) Overview: A rapidly growing FinTech firm that recently completed a successful Series B fundraising round is seeking their first fully dedicated Head of Compliance. With 38 employees globally (18 in NYC), the firm is registered with both the SEC and FINRA and is poised for its next phase of growth. This is a rare opportunity to build, shape, and lead a comprehensive legal and compliance function from the ground up. Key Responsibilities: Design and implement a scalable compliance framework across the organization Develop and maintain policies and procedures in alignment with SEC and FINRA regulations Serve as the primary point of contact for all regulatory compliance matters Oversee day-to-day compliance operations, including surveillance, testing, and reporting Collaborate with senior leadership on strategic initiatives and risk assessments Serve as a trusted advisor on all legal and regulatory developments impacting the business Qualifications: Juris Doctor (JD) required Prior compliance experience within a registered investment adviser (RIA), broker-dealer, or FinTech firm Proven ability to lead compliance initiatives in a fast-paced, entrepreneurial environment Deep knowledge of SEC and FINRA regulatory frameworks Compensation: $200K–$225K base + $75K–$100K cash bonus + equity (depending on experience) Seniority level
Seniority level Mid-Senior level Employment type
Employment type Full-time Job function
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Midtown Manhattan (5 days in-office) Overview: A rapidly growing FinTech firm that recently completed a successful Series B fundraising round is seeking their first fully dedicated Head of Compliance. With 38 employees globally (18 in NYC), the firm is registered with both the SEC and FINRA and is poised for its next phase of growth. This is a rare opportunity to build, shape, and lead a comprehensive legal and compliance function from the ground up. Key Responsibilities: Design and implement a scalable compliance framework across the organization Develop and maintain policies and procedures in alignment with SEC and FINRA regulations Serve as the primary point of contact for all regulatory compliance matters Oversee day-to-day compliance operations, including surveillance, testing, and reporting Collaborate with senior leadership on strategic initiatives and risk assessments Serve as a trusted advisor on all legal and regulatory developments impacting the business Qualifications: Juris Doctor (JD) required Prior compliance experience within a registered investment adviser (RIA), broker-dealer, or FinTech firm Proven ability to lead compliance initiatives in a fast-paced, entrepreneurial environment Deep knowledge of SEC and FINRA regulatory frameworks Compensation: $200K–$225K base + $75K–$100K cash bonus + equity (depending on experience) Seniority level
Seniority level Mid-Senior level Employment type
Employment type Full-time Job function
Job function Management and Legal Industries Investment Management and Investment Banking Referrals increase your chances of interviewing at Landing Point by 2x Get notified about new Head of Compliance jobs in
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