Remote Compliance Officer

Overview

A growing FINRA-registered investment banking firm operating in the private securities market is seeking an experienced Compliance Officer. This fully remote role involves overseeing compliance and legal matters, reviewing contracts, ensuring regulatory compliance, advising on legal issues, and supporting business operations. The position reports directly to executive leadership and offers a long-term career path with potential advancement into executive leadership.

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 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 related 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

Compensation & Benefits

• Salary range: $170,000–$175,000 DOE
• 30% target annual bonus based on individual and company performance
• Potential equity opportunity
• Annual performance reviews with salary increase opportunities
• Unlimited paid time off (subject to manager approval)
• Paid stock market holidays
• Employer-paid employee medical insurance (PPO)
• 401(k) plan
• Fully remote position with flexibility to work from anywhere in the U.S.
• Opportunity to grow into a Chief Compliance Officer position

Location

• Fully remote within the United States