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Head of Compliance

Revolt Financial

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Original Job Summary

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

Review compliance software and risk tools.
Study regulatory changes and filing processes.
Practice AML program analytics and reporting.
Brush up on broker-dealer systems.

Behavioral Questions

Describe a past regulatory challenge solved.
Explain your leadership style in compliance.
Discuss how you handle policy updates.
Share an experience managing risk logs.