Chief Compliance Officer, Ramp Advisory LLC
Core
Design, execute, and oversee the compliance program for Ramp Advisory LLC, an SEC-registered investment adviser, serving as the primary point of contact with regulators.
Role type
Chief Compliance Officer (CCO)
Builds
Scalable compliance controls, monitoring systems, and anti-money laundering programs for a fintech investment adviser.
Domain
Fintech / Investment Advising / Regulatory Compliance
Required skills
SEC Advisers Act expertise, regulatory examination support, anti-money laundering program design, custodian/broker-dealer oversight, AI/automation for compliance, cross-functional program design
Preferred skills
High-growth company scaling experience, cash management/fixed income strategy knowledge, digital advisory model experience
Technologies
AI, automation tools
Responsibilities
Serve as designated CCO with independent authority; act as primary SEC contact; maintain policies, Code of Ethics, and Form ADV; provide sign-off on marketing and product changes; oversee books, records, complaints, and trading requirements; manage financial partners/vendors; shape onboarding strategy with Product/Engineering; build AML program
Seniority
Senior, hands-on IC