About the job
Chief Compliance Officer — Institutional Brokerage/Broker Dealer & Trading
This is an executive leadership mandate for a global fintech trading brand — join the C-suite of a fast-scaling institutional brokerage platform spanning trading, clearing, and digital assets. You’ll report directly to the executive leadership team and Board, shaping regulatory strategy at the highest level of the organization.
What’s on offer: A rare seat at the top table.
- Above-market total compensation package, including base salary and a significant discretionary bonus tied to firm and individual performance
- A genuine executive leadership seat — direct Board exposure and a voice in strategic decision-making, not just a compliance function head
- The platform of a recognized global trading and fintech brand, with real runway to build and scale a function as the business grows across new markets and asset classes
The Chief Compliance Officer Role:
As Chief Compliance Officer, you will own the compliance agenda for the firm’s broker-dealer entities, acting as chief architect of the supervisory framework and the firm’s principal voice with regulators. This is a build-and-lead mandate — you’ll shape the function’s future direction, not simply maintain what exists.
What we’re prioritizing in this hire:
- Institutional broker-dealer depth.
Real, hands-on experience inside institutional brokerage — trading, clearing, prime brokerage, or market access — is essential. You should know these businesses from the inside, not just from an advisory seat.
- Regulator-side pedigree.
Candidates with direct experience at FINRA, the SEC, or an equivalent regulatory/self-regulatory body will stand out. This background brings a level of regulatory fluency and credibility with examiners that’s difficult to replicate.
- Proven leadership of a compliance function.
You’ve built, led, or significantly scaled a compliance team — ideally spanning surveillance, AML, and supervisory functions — and can demonstrate you can lead people, not just policy.
Baseline requirements:
- 10+ years in broker-dealer compliance within regulated financial services
- Series 7 and 24 required; Series 3 required or obtainable shortly after start
- Track record of managing regulatory examinations and enforcement matters at a senior level
- Prior CCO, Deputy CCO, or Head of Compliance title strongly preferred
Recruiter notes:
Please be advised that only shortlisted candidates will be contacted.
Interested in this role? Reach out at info@salientgroup.com.au
