Chief Compliance Officer, Meridian Platform Securities
Core
Serve as the firm's designated Chief Compliance Officer (CCO) under FINRA Rule 3130, owning supervisory procedures and acting as the compliance partner for deal teams to review diligence, marketing materials, and private placement memoranda.
Role type
Senior IC Chief Compliance Officer (Financial Services)
Builds
Compliance programs, regulatory filings, and risk management frameworks for a private markets wealth platform.
Domain
Financial Services / Private Markets / Securities Regulation
Required skills
FINRA Rule 3130 expertise, Series 24 license, private placement mechanics, Regulation D, secondaries, AML/BSA program administration, FINRA/SEC examination management, state blue sky licensing, outside counsel management.
Preferred skills
Online broker-dealer or fintech compliance experience, SPV/fund administration knowledge, syndication platform experience, exempt offering structures.
Responsibilities
Own Written Supervisory Procedures, review and clear deal diligence and investor communications, manage FINRA and SEC examinations and inquiries, maintain registration and licensing across jurisdictions, administer AML/BSA program, monitor regulatory developments and translate into policy.