Develop, implement, and oversee all aspects of Green Pier’s broker-dealer compliance program.
Liaise with federal and state regulators, manage regulatory examinations, and oversee comprehensive compliance reporting to senior management.
Lead and mentor a team of compliance professionals.
Act as a strategic partner to senior leadership, integrating regulatory strategy into business initiatives to support scalable, compliant product and platform development.
Promote a strong culture of compliance and ethical conduct across the broker-dealer while developing, implementing, and maintaining a comprehensive compliance program aligned with SEC, FINRA, and applicable state regulations.
Provide leadership with actionable regulatory insight to inform product design, business strategy, and risk management decisions.
Proactively identify and assess regulatory risks, ensuring policies and controls evolve in line with regulatory developments and business practices.
Advise senior management on regulatory changes and their impact, and collaborate closely with Legal, Risk, and Audit functions.
Lead regulatory examinations and inquiries and build strong, transparent relationships with regulators.

Bachelor’s degree required; advanced degree preferred.
10 years of broker-dealer legal and/or compliance experience.
Prior experience as a CCO or senior compliance leader strongly preferred.
Demonstrated strategic thinking, sound judgment, and executive presence, with the ability to influence and collaborate across a large organization.
Experience operating effectively in high-growth, rapidly evolving environments.
Exceptional writing and communication skills, with the ability to distill complex concepts for senior audiences.
Deep knowledge of SEC and FINRA rules and broker-dealer operations.
High ethical standards and integrity.
FINRA Series 7 and Series 24 required (or ability to obtain shortly after hire).

comprehensive health care coverage and emotional well-being support
market-leading retirement
generous paid time off and parental leave
charitable giving employee match program
educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career

Chief Compliance Officer

Key skills