Chief Compliance Officer (Broker-Dealer)
Revolut · United States
- Hybrid
- Full-time
- $200,000 / year
- United States
Job highlights
- Lead broker-dealer compliance function.
- Oversee regulatory applications and licenses.
- Enhance compliance processes and controls.
- Advise on FINRA and SEC regulations.
- Manage financial crime and risk exposure.
About the role
About Revolut
People deserve more from their money. More visibility, more control, and more freedom. Since 2015, Revolut has been on a mission to deliver just that. Our powerhouse of products — including spending, saving, investing, exchanging, travelling, and more — help our 75+ million customers get more from their money every day.
As we continue our lightning-fast growth, 2 things are essential to our success: our people and our culture. In recognition of our outstanding employee experience, we've been certified as a Great Place to Work™. So far, we have 13,000+ people working around the world, from our offices and remotely, to help us achieve our mission. And we're looking for more brilliant people. People who love building great products, redefining success, and turning the complexity of a chaotic world into the simplicity of a beautiful solution.
About The Role
Our Compliance team blends regulatory expertise with data-driven thinking to make sure our products meet legal and policy requirements and deliver real value to customers. In a fast-moving, digital environment, they stay one step ahead by finding smart, scalable ways to manage conduct risk.
We’re looking for a Chief Compliance Officer to lead all aspects of the local compliance function, helping deliver new features that align with regulatory requirements.
Up to shape what's next in finance? Let's get in touch.
What You'll Be Doing
- Leading investment compliance efforts, promoting an ethical compliance culture aligned with laws and regulations
- Overseeing relevant license applications to expand features
- Monitoring the effectiveness of established compliance processes and controls across the business, and recommending and implementing enhancements
- Updating broker-dealer and investment advisor manuals, including written supervisory procedures (WSPs), business continuity plan, AML, etc.
- Managing investment advisor requirements, including conflicts of interest, Form ADV, and reporting
- Advising on FINRA and SEC rules, regulations, interpretive guidance, and applicable policies and procedures
- Managing KYC process on new customers, ensuring accurate review of OFAC searches
- Coordinating regulatory exams, investigations, and inquiries conducted by FINRA and SEC regulators, liaising with compliance personnel
- Assessing the inherent risk of business units as well as the effectiveness of mitigating controls to minimize residual risk exposure
- Integrating industry benchmarking and best practices through ongoing research, education, and industry affiliations
What You'll Need
- 10+ years of financial crime and regulatory compliance experience
- Series 7 and 24 licenses
- Experience with fintech, broker-dealer, and robo advisor
- Familiarity with supervisory oversight, training, e-mail surveillance, branch exams, licensing and registrations, AML supervision, advertising, and regulatory reporting
- Expertise across retail and business topics, such as AML/CTF, sanctions, KYC, CDD/EDD, transaction monitoring, risk assessments, and reporting (SARs)
- An understanding of global anti-financial crime frameworks, regulatory recommendations, risk management, and control arrangements
- A bachelor's degree
Nice to have
- Other regulatory licenses
Diversity and Inclusion
Building a global financial super app isn’t enough. Our Revoluters are a priority, and that’s why in 2021 we launched our inaugural D&I Framework, designed to help us thrive and grow everyday. We're not just doing this because it's the right thing to do. We’re doing it because we know that seeking out diverse talent and creating an inclusive workplace is the way to create exceptional, innovative products and services for our customers. That’s why we encourage applications from people with diverse backgrounds and experiences to join this multicultural, hard-working team.
Important notice for candidates:
Job scams are on the rise. Please keep these guidelines in mind when applying for any open roles.
- Only apply through official Revolut channels. We don’t use any third-party services or platforms for our recruitment.
- Always double-check the emails you receive. Make sure all communications are being done through official Revolut emails, with an @revolut.com domain.
- We won't ask for payment or personal financial information during the hiring process. If anyone does ask you for this, it’s a scam. Report it immediately.
Legal Disclaimer
By submitting this application, I confirm that all the information given by me in this application for employment and any additional documents attached hereto are true to the best of my knowledge and that I have not wilfully suppressed any material fact. I confirm I have disclosed if applicable any previous employment with Revolut. I accept that if any of the information given by me in this application is in any way false or incorrect, my application may be rejected, any offer of employment may be withdrawn or my employment with Revolut may be terminated summarily or I may be dismissed. By submitting this application, I agree that my personal data will be processed in accordance with Revolut's Candidate Privacy Notice
Key skills/competency
- Chief Compliance Officer
- Broker-Dealer Compliance
- Investment Advisor Compliance
- FINRA SEC Regulations
- AML KYC Compliance
- Financial Crime Prevention
- Regulatory Exams
- Risk Management
- Fintech Compliance
- Supervisory Oversight
Skills & topics
- Chief Compliance Officer
- Broker-Dealer Compliance
- Investment Compliance
- Regulatory Affairs
- FINRA
- SEC
- AML
- KYC
- Financial Crime
- Risk Management
- Fintech
- Compliance Officer
- Securities
- Licensing
- Supervisory Procedures
How to get hired
- Tailor your resume: Highlight 10+ years of financial crime and regulatory compliance experience, Series 7/24 licenses, and fintech/broker-dealer expertise.
- Showcase regulatory knowledge: Emphasize your understanding of FINRA, SEC rules, AML/CTF, KYC, and risk management frameworks.
- Prepare for interviews: Be ready to discuss leading compliance functions, managing regulatory exams, and promoting an ethical culture.
- Demonstrate leadership: Showcase experience in updating manuals, implementing controls, and advising on complex regulatory matters.
- Connect with Revolut: Apply through official channels and express your passion for shaping the future of finance.
Technical preparation
Behavioral questions
Frequently asked questions
- What are the key responsibilities for a Chief Compliance Officer (Broker-Dealer) at Revolut?
- The Chief Compliance Officer at Revolut will lead the local compliance function, focusing on investment compliance, regulatory applications, process enhancements, and advising on FINRA and SEC rules. You'll manage KYC processes, coordinate regulatory exams, and assess business unit risks.
- What specific licenses are required for the Chief Compliance Officer role at Revolut?
- The Chief Compliance Officer role at Revolut requires a Series 7 and Series 24 license. Other regulatory licenses are considered a plus.
- What kind of experience is most valuable for this Chief Compliance Officer position at Revolut?
- Revolut values at least 10 years of experience in financial crime and regulatory compliance, particularly within the fintech, broker-dealer, and robo-advisor industries. Expertise in AML/CTF, sanctions, KYC, and risk assessments is crucial.
- How does Revolut ensure a fair hiring process for its Chief Compliance Officer role?
- Revolut is committed to diversity and inclusion, encouraging applications from people with diverse backgrounds and experiences. They aim to create an inclusive workplace that fosters exceptional and innovative products and services.
- What are Revolut's compliance requirements regarding job applications and potential scams?
- Revolut strictly advises candidates to only apply through official Revolut channels using @revolut.com email domains. They will never ask for payment or personal financial information during the hiring process. Be vigilant against job scams.
- Can I work remotely for the Chief Compliance Officer role at Revolut?
- Revolut has a hybrid work model, with over 13,000 people working from offices and remotely around the world. While the job description doesn't explicitly state remote work for this role, their operational model suggests flexibility may be considered.
- What is Revolut's stance on continuous learning for its compliance team?
- Revolut encourages continuous learning and integration of industry benchmarking and best practices. This is achieved through ongoing research, education, and active participation in industry affiliations to stay ahead in a fast-moving digital environment.