HHiring Reality
← Octaura

Vice President of Compliance

Octaura
Location
New York
Posted
1 month ago
Department
People & Operations
Salary
$180,000 - $230,000
What they actually want (must-haves)
  • Approximately 6–10 years of progressive financial-services compliance experience, including meaningful responsibility within a U.S. broker-dealer
  • Series 24 or Series 14 qualification
  • Strong knowledge of FINRA and SEC requirements
  • Strong employee and personnel compliance experience
  • Understanding of fixed-income products and broker-dealer operations
  • Experience across AML, regulatory examinations, risk assessments, and policies
Nice to have
  • Series 7, Series 63 and/or Series 8 qualifications
  • Experience in marketing and communications compliance
  • Exposure to trade surveillance, data governance, AI governance or RegTech
  • Electronic trading and TRACE experience
What the job really is

The Vice President of Compliance at Octaura will lead compliance efforts as the company grows, ensuring adherence to regulatory requirements while supporting commercial objectives. This hands-on role involves managing compliance for a U.S. institutional broker-dealer, improving compliance programs, and collaborating with various teams to integrate compliance into products and processes. The VP will also oversee AML programs, regulatory filings, and the implementation of compliance technology.

Benefits
  • Competitive compensation and equity
  • Flexible Paid Time Off
  • Competitive Parental Leave
  • Daily breakfast, coffee and snacks in the office
  • 90% company-paid healthcare
  • Onsite gym & discounted membership
Things to weigh
  • Base pay range is $180,000 - $230,000, which may vary based on experience
  • Role requires a hands-on approach and significant responsibility
  • The company is in a growth phase, which may involve evolving compliance challenges
Job score4.2/5
Benefits3/5
Freshness4/5
Career value4/5
Role clarity5/5
Pay transparency5/5

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