Chief Compliance Officer (FINRA Broker Dealer or SEC RIA)

Frec Compliance OfficerFrec operates two regulated entities: a broker-dealer and a registered investment advisor. Today a single individual holds both seats. As we scale, we're adding a second Chief Compliance Officer to take on one of the two CCO roles (broker-dealer or RIA, based on fit and experience), while our current CCO retains the other. You'll work in close partnership with them to divide responsibilities cleanly, share context, and build a compliance function that's built to scale with two dedicated leaders instead of one. We're customer-centric, every decision starts with how it benefits our customers. We're efficiency-seeking, we scale with accuracy while reducing risk. And we're team-focused, we succeed and face challenges together, with accountability and humility. If that resonates, join us at a pivotal time to help shape our compliance program and Frec's future.You'll build, own, and scale the compliance program for the entity you serve as CCO of (broker-dealer or RIA), working in close coordination with the other Frec CCO and cross-functionally with Operations, Legal, Product, and Engineering to ensure the firm operates within regulatory requirements while moving at startup speed.Regulatory compliance program — Serve as CCO of either Frec's broker-dealer or its RIA, maintaining and evolving written supervisory procedures (WSPs) and compliance manuals to reflect current regulations and business practices.Regulatory relationships — Act as a primary liaison with FINRA, the SEC, and state regulators for your entity; manage exams, inquiries, and filings, and ensure timely, accurate responses.Supervision & surveillance — Design and oversee supervisory and surveillance systems across trading, communications, and account activity, ensuring escalations are identified and resolved promptly.Account opening & KYC/AML — Own the compliance framework for account opening, KYC, and AML/BSA programs, including suspicious activity monitoring and reporting.Marketing & communications review — Review marketing materials, advertising, and customer communications for regulatory compliance, coordinating with the other CCO where materials touch both entities.Policy development — Draft and maintain compliance policies as Frec launches new products and features, partnering with Product and Engineering early in the development process.Training & culture — Build and lead compliance training programs for your entity, fostering a culture of compliance across the organization.Regulatory filings & audits — Oversee required regulatory filings and support annual audits, exams, and financial reporting for your entity.Risk assessment — Conduct ongoing risk assessments across the business and recommend controls to mitigate emerging risks.Beyond core compliance responsibilities, you'll also:Partner closely with Frec's other CCO to ensure consistent standards and clean handoffs between the broker-dealer and RIA compliance programs.Partner cross-functionally with Operations, Legal, Product, and Engineering as a subject-matter expert on regulatory matters.Help build the compliance infrastructure and technology needed to scale a compliance function without scaling headcount linearly.Contribute to strategic decisions as a member of the senior leadership team.This role is ideally based in San Francisco or New York. Exceptional remote candidates are encouraged to apply. Compensation ranges are based on our San Francisco and New York markets and may vary for candidates in other locations.What We OfferBase salary of $180,000–$260,000, determined by experience, skills, qualifications, and locationMeaningful equity: we want you to own a piece of what you're buildingFully paid health, vision, and dental insurance401(k)Monthly wellness allowance for physical and mental healthFlexible PTOCatered lunch every day in our SF and NYC offices