Head of Compliance @ Revolt Financial
placeHybrid
attach_money $150,000
businessHybrid
scheduleFull Time
Posted 2 days ago
Your Application Journey
Interview
Email Hiring Manager
****** @revoltfinancial.com
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Job Details
About the Head of Compliance Role
Revolt Financial is seeking a Head of Compliance to design, implement, and continuously improve its compliance program. Reporting to senior leadership, this regulatory-facing role oversees supervisory procedures, regulatory filings, communications review, product governance, and financial crimes compliance.
Key Responsibilities
- Compliance Leadership: Enhance supervisory procedures, control framework, and risk assessments.
- Regulatory Oversight: Act as primary regulatory contact, manage filings and adapt policies.
- Communications Review: Approve marketing, client-facing, and internal materials.
- Product & Business Practices: Oversee product approval, due diligence, and operational readiness.
- Financial Crimes Compliance: Manage AML program, reporting, and partner coordination.
- Licensing & Training: Handle licensing, education, and firmwide compliance training.
Traits & Experience
The ideal candidate has over 5 years of compliance leadership in regulated financial services, strong knowledge of broker-dealer or investment compliance, direct regulator interactions, Series 24 and Series 7 (Series 14 preferred), excellent communication skills, and a bachelor’s degree.
Why Join Revolt Financial?
Competitive compensation and benefits, commitment to professional growth, and an inclusive, collaborative culture.
Key skills/competency
- Compliance Leadership
- Regulatory Oversight
- AML Program
- Risk Management
- Licensing
- Training
- Communications
- Broker-Dealer
- Supervisory Procedures
- Product Governance
How to Get Hired at Revolt Financial
🎯 Tips for Getting Hired
- Research Revolt Financial: Study their mission, values, and recent updates.
- Customize Your Resume: Highlight compliance and regulatory expertise.
- Demonstrate Leadership: Emphasize past compliance program management.
- Prepare for Interviews: Focus on regulatory and risk scenarios.
📝 Interview Preparation Advice
Technical Preparation
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Review compliance software and risk tools.
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Study regulatory changes and filing processes.
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Practice AML program analytics and reporting.
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Brush up on broker-dealer systems.
Behavioral Questions
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Describe a past regulatory challenge solved.
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Explain your leadership style in compliance.
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Discuss how you handle policy updates.
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Share an experience managing risk logs.
Frequently Asked Questions
What regulatory experience is required for the Head of Compliance at Revolt Financial?
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How important are Series 24 and Series 7 for Revolt Financial's Head of Compliance role?
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What are Revolt Financial's key expectations from the Head of Compliance?
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How does Revolt Financial support professional growth for the Head of Compliance?
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