Founding Compliance Leader – Director, CCO

Job not on LinkedIn

November 6

Apply Now

Receive Emails with Similar Jobs

Crux

WebsiteLinkedInAll Job Openings

Finance • Energy

Crux is an ecosystem designed to facilitate transactions and management of transferable tax credits among developers, tax credit buyers, banks, syndicators, and advisors. The platform aims to streamline processes such as price discovery, due diligence, and contracting. It offers tools for minimizing risks, ensuring compliance, and managing reporting through a network of regulatory experts. Crux enables developers to maximize the value of tax credits and tax credit buyers to manage tax liabilities and sustainability goals. For banks, syndicators, and advisors, it provides workflows for efficiently managing syndications and connecting with new market participants. Crux’s Transaction Hub centralizes these activities, making it easier to track and execute tax credit transactions in the energy and manufacturing sectors.

11 - 50 employees

💸 Finance

⚡ Energy

📋 Description

• Serve as the primary compliance professional for Crux’s broker-dealer and RIA subsidiaries, ensuring compliance with FINRA, SEC, and state securities laws. • Develop and maintain compliance policies, procedures, and supervisory systems aligned with FINRA, SEC, and other applicable standards. • Oversee supervisory controls, annual reviews, testing, and risk assessments. • Manage all regulatory examinations, audits, and filings, including Form ADV, Form BD, FINRA membership continuing requirements, and related reports. • Serve as a key liaison with regulators, external counsel, auditors, and internal teams on all compliance-related matters. • Ensure appropriate registration, training, and oversight of associated persons and registered representatives. • Monitor marketing, communications, and financial promotions for regulatory compliance and alignment with firm policies. • Implement and maintain books and records, trading oversight, and surveillance programs tailored to Crux’s products and platform. • Oversee select corporate compliance functions, including AML/KYC, OFAC/sanctions screening, and anti-bribery/anti-corruption policies. Advise on emerging compliance risks across the broader Crux enterprise, including data governance, conflicts of interest, and information barriers. • Support implementation of compliance technology and reporting systems for centralized oversight. • Collaborate with Legal, Finance, and Operations to maintain a robust, scalable compliance framework consistent with Crux’s growth and regulatory posture.

🎯 Requirements

• 10+ years of experience in securities compliance, including prior service as a Chief Compliance Officer or senior compliance officer for a broker-dealer and/or RIA. Experience with both broker-dealer and RIA compliance regimes (not one or the other) is a requirement. • For CCO candidates, active FINRA principal licenses (Series 7, 24, and 63/65 or 66) are required. • Deep understanding of FINRA, SEC, and state regulatory frameworks. • Experience designing and managing compliance programs, supervisory systems, and regulatory filings for hybrid financial services businesses. • Familiarity with AML/KYC compliance and risk-based control frameworks. • Strong judgment, problem-solving, and communication skills, with the ability to balance regulatory requirements and business goals. • Experience in clean energy finance, structured products, fintech or private placement markets is a plus. • Entrepreneurial mindset and ability to work independently in a fast-moving environment.

🏖️ Benefits

• Healthcare: We cover 100% of premiums for employees with a variety of plans on Aetna (nationwide) and Kaiser (WA and California), and subsidize $400/month for dependents (total), if relevant. • Dental & Vision: We cover 100% of premiums for employees and 50% for dependents (each), if relevant. • Holidays & PTO: 10 company holidays + 20 days of paid vacation annually. • 401(k): We support a 401(k), though do not currently offer matching (typical for early-stage startups). • Team Offsites: Regular all-team offsites 3x/year. • Compensation: $165,000-$215,000+ base salary based on experience and leveling, 20% bonus target based on company and individual performance, and equity in the form of stock options.