Chief Compliance Officer Broker-Dealer

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 70+ 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.

Key skills/competency

• Chief Compliance Officer
• Broker-Dealer Compliance
• Financial Crime Compliance
• Regulatory Affairs
• Risk Management
• FINRA SEC Regulations
• KYC AML CTF
• Investment Advisor Compliance
• Fintech Compliance
• Series 7 and 24 Licenses