ARQ Chief Compliance Officer at ARQ leads US investment compliance for the SEC-registered RIA and broker-dealer launch. The role involves overseeing compliance programs, managing regulatory applications, and building supervisory frameworks.
Responsibilities
RIA program ownership: Administer the RIA’s compliance policies, risk assessment, monitoring, testing, and documented annual review. Maintain the compliance calendar and report material risks and remediation progress to leadership.
FINRA application and launch: Help lead the NMA with FINRA, counsel, and internal teams. Develop written supervisory procedures, prepare supporting materials, respond to information requests, participate in the membership interview, and verify compliance readiness before launch.
Broker dealer supervision: Build and lead the compliance and supervisory framework for a fully disclosed introducing broker offering self-directed trading. Establish assigned supervisory responsibilities, account and transaction reviews, supervisory testing, escalation processes, and required annual reporting.
Digital investment advice: Oversee compliance controls for automated, non-discretionary recommendations, including client questionnaires, risk profiles, portfolio methodology, algorithm testing, change management, and ongoing monitoring. Maintain clear disclosures and separation between advisory recommendations and independent customer trading.
Marketing and communications: Review investment marketing, performance presentations, promotions, app content, and customer communications against applicable SEC and FINRA standards. Maintain approval records and electronic communications supervision.
Disclosures and registrations: Manage Form ADV, Form CRS, Form BD, relevant amendments, and client delivery obligations. Coordinate individual registrations, continuing education, advisory agreements, and customer disclosures.
Conflicts and conduct: Maintain the code of ethics and controls for personal trading, outside business activities, gifts and entertainment, and affiliate conflicts. Oversee fiduciary-duty controls and assess custody implications, fees, and collateral arrangements.
Clearing and brokerage operations: Oversee compliance with introducing and clearing responsibilities, including account opening, order handling, applicable best execution obligations, transfers, and customer complaints. Coordinate with the clearing broker and outsourced FINOP on operational controls and regulatory obligations.
Records and customer protection: Maintain compliant books and records, communications retention, privacy and safeguarding controls, and complaint handling. Work with Security and Engineering on incident response and customer notification processes.
Examinations and coordination: Lead SEC and FINRA examinations and inquiries, coordinate audits and remediation, and train employees. Partner with the BSA/AML Officer on investment-related financial crime risks and clearly document responsibilities across teams.
Qualification
FINRA Series 24 qualification requiredSound judgment
Required
10+ years of progressive securities compliance experience, with prior service as CCO for an SEC-registered investment adviser or FINRA broker-dealer.
FINRA Series 24 qualification required.
Direct experience supporting or leading a FINRA NMA, including supervisory procedures, regulatory responses, membership interviews, and preparation for launch.
Strong knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules covering supervision, communications, records, registrations, and customer protection.
Experience with fully disclosed introducing broker-dealers and clearing firms, including the division of compliance and operational responsibilities.
Hands-on experience administering RIA annual reviews, marketing reviews, conflicts controls, codes of ethics, regulatory filings, and examinations.
Experience with digital investment platforms, automated advice, and self-directed brokerage, including translating requirements into product and technology controls.
Ability to coordinate effectively with a dedicated BSA/AML Officer and outsourced FINOP while maintaining clear ownership of the securities compliance program.
Sound judgment, strong writing, and the confidence to engage regulators, challenge decisions, and explain practical solutions to senior leadership and technical teams.
