Chief Compliance Officer

About The Role

LInqto Capital LLC is seeking a Chief Compliance Officer who will lead the Compliance team and oversee the related compliance and regulatory functions. The candidate will assume responsibility for assuring compliance with SEC and FINRA regulations as well as effectively manage and mitigate risk, establish proper controls.

Responsibilities

• Serve as the firm’s FINRA-designated CCO, ensuring adherence to all applicable regulations, including SEC and FINRA rules, as well as state and federal securities laws. 
• Stay up to date on evolving regulatory requirements and proactively advise on compliance risks. 
• Oversee the firm's Anti-Money Laundering program, ensuring full compliance with the Bank Secrecy Act (BSA) and other applicable anti-money laundering regulations, including policy maintenance, annual training, and independent audits.
• Lead periodic KYC reviews and risk ratings, adverse news, and sanctions reviews. 
• Conduct annual compliance reviews, risk assessments, and internal audits to ensure adherence to best practices. 
• Supervise and provide guidance to registered representatives and associated persons to ensure they comply with firm policies and industry regulations. 
• Lead firm-wide compliance training programs, ensuring that all employees and stakeholders understand their regulatory obligations. 
• Maintain, monitor, and enforce the firm’s Written Supervisory Procedures (WSPs) in accordance with FINRA Rule 3110. 
• Identify policy and procedural enhancements and maintain awareness of company goals, regulatory developments, and industry trends. 
• Review and approval of Employee Trading, Personal Securities Transactions, Outside Business Activities, Political Contributions, Annual Compliance Certifications. 
• Review marketing and advertising for compliance with FINRA rules. 
• Work in conjunction with department managers to update the Firm's Written Supervisory Procedures based on new rules and regulations and/or process enhancements and communicate such changes simply and efficiently to affected business units in order to minimize bureaucracy and process burden. 

Experience (Must Haves) 

• 10+ years of experience in broker-dealer compliance, preferably within a firm specializing in capital raising for private funds. 
• Current FINRA Series 24 (Principal) license required. 
• In-depth knowledge of SEC, FINRA, and other regulatory requirements governing limited-purpose broker-dealers and private fund capital raising. 
• Experience managing FINRA/SEC examinations and regulatory filings. 
• Strong familiarity with Reg D offerings, private placements, and alternative investments. 
• Ability to work both indpendently as well as cross-functionally, managing a variety of stakeholders and priorities simultaneously. 
• Excellent leadership and communication skills, with the ability to work closely with senior executives, legal teams, and regulatory agencies. 
• Provide oversight for data privacy compliance, ensuring protection of sensitive information in line with legal obligations. 
• Strong work ethic and high attention to detail. 
• Excellent oral and written communication skills; ability to negotiate and collaborate with others. 
• Proficiency with Microsoft 365 applications including Office.  

Preferred Qualifications (Nice to Haves) 

• Bachelor’s degree required; JD, MBA, or equivalent experience  
• Experience at a public company, specifically in the Fintech sector 
• Series 7, 63, or other relevant licenses are a plus! 

Salary & Benefits 

• Compensation Range: $200,000-$250,000 Commensurate on experience. 
• Robust benefits offerings including 100% employee paid medical, dental, vision, Telehealth  
• Unlimited Paid Time Off (Open PTO) 
• 401(k) 
• Flexibility of remote working  
• Equity stock options package 
• This is the compensation range for the United States, actual compensation may vary based on individual candidate experience, location, or evolving business needs 

About Linqto 

We are changing private investing. We are on a mission to make private investing more accessible and affordable. Linqto's vision is to democratize private investing by making it accessible and affordable for individual investors. Through an intuitive platform, Linqto empowers individual investors to engage in the private equity market, which was once only within reach for the privileged few. 

Equal Opportunity  

Linqto is an equal opportunity employer and are committed to creating a diverse and inclusive workplace. We consider all qualified applicants for employment without regard to race, color, religion, maritial status, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or any other status protected by applicable law. We encourage individuals from all backgrounds to apply. All aspects of employment will be based on merit, competence, performance, and business needs. 

Other 

Linqto does not accept unsolicited resumes from search firm recruiters. Fees will not be paid if a candidate submitted by a recruiter without an agreement in place is hired; such resumes will be deemed the sole property of Linqto.