RIA Chief Compliance Officer

San Francisco, CA
Business Operations
Full Time
Synapse Advisors, LLC is looking for a Chief Compliance Officer with deep experience and domain knowledge in both securities and technology.

At Synapse, our mission is to democratize best in class financial products. The Chief Compliance Officer is responsible for keeping our RIA compliant with federal and state securities laws by establishing controls, best practices, and ethical standards which make us an idea leader in this quickly evolving field. A nuanced understanding of legal issues surrounding robo-advisors, SaaS business models, and API software architecture, as well as the SEC’s evolving stance on these issues, will be critical to the CCO’s success. A proactive, conservative approach to compliance gray areas, along with an inherent focus on consumer protection and empowerment, will be equally important.

In order to be successful at Synapse, you should have:

    • A drive to help democratize best in class financial products
    • An ability to work independently within a small, fast-paced team
    • An entrepreneurial spirit and unrelenting passion to deliver industry leading results
    • The ability to embrace feedback, evolve quickly, and contribute new ideas
    • A general concern for the wellbeing of others and the desire to work on problems that maximize a positive future for humanity

Key Qualifications:

    • Minimum three years experience in securities compliance
    • Ability to immediately register as an IAR with the SEC and the State of California
    • Strong communication and an ability to interact compassionately with other humans
    • Technical experience/knowledge of API software services, robo-advisors, and artificial intelligence
    • Prior experience in conducting AML investigations, customer due diligence, SARs preparation and filing, deep knowledge of securities laws, and compliance practices.

Perks:

    • Growth Potential
    • Competitive Salary
    • Insurance (Health // Dental // Vision)
    • 401(k)
    • Temporary Housing (for those relocating to San Francisco)
    • Catered lunch and commuter benefits

Compensation:

    • $90 - $150K
    • 0.0% - 0.007%
We are looking for top notch individuals who are seeking a challenge. Our company is growing quickly. This is an exciting time to join our team. If you are interested in adding value to our team, please apply and we will be in touch.