Chief Compliance Officer and General Counsel
New York, NY$90k - $170kFull-timePosted 4w ago
About the role
Chief Compliance Officer and General Counsel for Aqua, a YC-backed wealth platform, responsible for leading compliance for the broker-dealer and serving as General Counsel for the firm.
Responsibilities
- Compliance Oversight: Own the compliance function including onboarding registered reps, interfacing with FINRA, leading annual audits, and managing ongoing compliance requirements.
- Contracts and Agreements Preparation: Prepare agreements including engagement letters, fee-share agreements, SaaS contracts, etc; Conduct due diligence on new registered representatives
- Internal Collaboration: Partner closely with executive leadership and broker-dealer leadership to ensure compliance of the highest standard and a great client/registered representative experience.
Qualifications
- 5–8+ years of CCO experience from the regulated financial services world.
- Strong understanding of BD workflows—compliance, operations, advisor distribution, and investment data.
- Exceptional communication and relationship-building skills.
- J.D. mandatory.
- Series 7, 63, 24, and 14 required.
Skills
Required:Regulatory compliance (FINRA, BD)Contract drafting and negotiationsRegulatory liaison
Last updated Sep 23, 2026. Interested? Apply on the company site.
About Aqua
The Operating System for Alternative Investments
One stop shop to find, invest, and service an alternative investment for RIAs, IBDs, and institutions.
fintechfinanceinvestinginvestments
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