Remote Compliance Officer and General Counsel

Overview

This remote Compliance Officer position offers a salary range of $170,000–$175,000 DOE, plus a 30% target bonus and potential equity opportunity. The role involves overseeing compliance and legal matters for a growing FINRA-registered investment banking firm operating in the private securities market. The position requires working directly with executive leadership in an entrepreneurial environment, providing compliance oversight and practical legal guidance.

Responsibilities

• Review, revise, and approve client contracts and contract redlines
• Provide legal guidance on contract law and business agreements
• Review and approve marketing and advertising materials for regulatory compliance
• Ensure compliance with FINRA and applicable financial services regulations
• Review legal documents, disclosures, and compliance filings
• Complete regulatory and compliance-related documentation
• Support and improve internal compliance processes
• Partner with leadership to identify and mitigate regulatory risk
• Serve as the primary compliance resource for internal teams

Requirements

• Juris Doctor (JD) degree required
• Minimum 4 years of experience in both compliance and general counsel roles within the financial services industry
• Strong knowledge of contract law and regulatory compliance
• Experience reviewing and negotiating contracts
• Background in investment banking, broker-dealers, securities, or other financial services organizations
• Excellent written and verbal communication skills
• Strong analytical and problem-solving abilities
• Professional, approachable, and patient communication style
• Ability to work independently in a fully remote environment
• Proficiency with Microsoft Office; experience with compliance software is a plus

Benefits

• Fully remote position with flexibility to work from anywhere in the U.S.
• Competitive base salary
• 30% target annual bonus based on individual and company performance
• Potential equity opportunity
• Annual performance reviews with salary increase opportunities
• Unlimited PTO (subject to manager approval)
• Paid stock market holidays
• Employer-paid employee medical insurance (PPO)
• 401(k) plan
• Opportunity to grow into a Chief Compliance Officer position
• Stable, established company with a collaborative entrepreneurial culture

Location

• Fully remote within the United States