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Head of Compliance



New York, NY, USA
Posted on Friday, August 11, 2023
We’re on a mission
At Octaura, we continually evolve markets to unleash value for clients. It’s in our DNA to make a difference and do things differently.
Existing workflows within our markets are painful for clients: they are outdated, overcomplicated, and time-consuming. We want to change that. Octaura fundamentally rebuilds and redefines the markets by streamlining workflows, digitizing platforms, and bringing transactions, data and analytics together for the first time.
Join our inclusive culture
At Octaura, everyone belongs.
It’s so important to us that all Octaurians are confident in knowing they have the space to use their voice and talents. We love the diversity we see in the world and we actively want our team to reflect this. We’re a values-driven company and by engaging, solving and evolving together, we create a culture that is collaborative, switched-on, and fun to be part of.
The role in a nutshell
Octaura’s Head of Compliance will act as our Chief Compliance Officer for our Broker/Dealer business and own firm-wide Compliance, including the creation of the function, firm policies and trainings. This role reports to the COO/CFO and requires extensive financial services and Broker/Dealer experience.
This is an exciting time for Octaura as we are rapidly growing and are looking for energetic, collaborative and driven thinkers to join us! Please note this role is based out of our NYC office and our current structure is 4 days (Mon-Thurs) in the office, 1 day from home.
Core responsibilities
  • Act as a regulatory advisor to Executive Team, board members and internal employees on all aspects of compliance affecting Octaura's business
  • Responsible for continual development, execution and enhancement of a comprehensive compliance and market surveillance program
  • Lead and develop Octaura’s policies on industry-specific compliance issues and deliver firm-wide trainings
  • Provide thought leadership and subject matter expertise for compliance issues
  • Work cross-functionally across all teams to assess and implement compliance controls as needed
  • Conduct regular audits to identify potential weaknesses and noncompliance situations
  • Remain up-to-date on changes to FINRA and SEC regulatory requirements

Desired experience

  • 15+ years’ experience in Compliance and in-depth knowledge of the U.S. regulatory system
  • Series 24 required; experience in designing, implementing, and enforcing supervisory procedures
  • 5+ years leading a compliance function within financial services, ideally within the CLO market
  • Bachelor’s degree; JD preferred but not required

The base pay range for this position in New York is $175,000 - $250,000 annually. Pay may vary depending on job-related knowledge, skills, and experience. Equity and year-end bonus may be provided as part of the compensation package, in addition to a full range of medical, financial, and other benefits, dependent on the position offered. Applicants should apply via Octaura's internal or external careers site.

Octaura Work Perks
At Octaura, our people are our most valuable asset, and we are pleased to offer the following benefits to all full-time employees:
  • Competitive compensation and equity
  • Unlimited Paid Time Off
  • Competitive Parental Leave
  • Daily breakfast, coffee and snacks in the office
  • 90% company-paid healthcare
  • Onsite gym & discounted membership
We’re committed to equal opportunity employment
Octaura is committed to a diverse and inclusive workplace. We are an equal opportunity employer and do not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status.