Founding Compliance Leader (Director - CCO)
Crux(2 months ago)
About this role
The Founding Compliance Leader (Director - CCO) at Crux will build and oversee the compliance program across the company's broker-dealer and registered investment adviser operations, ensuring adherence to FINRA, SEC, and state securities laws. Responsibilities include developing compliance policies, managing regulatory examinations, overseeing training and supervision of staff, and collaborating with various teams to maintain a robust compliance framework. Candidates should have over 10 years in securities compliance, with preference for those holding active FINRA licenses and experience in clean energy finance or hybrid financial services.
Required Skills
- Compliance
- Regulatory Oversight
- FINRA
- SEC
- Securities Laws
- Policy Development
- Procedures Management
- Risk Assessments
- Regulatory Examinations
- Audits Management
+9 more
Qualifications
- 10+ years of experience in securities compliance
- Active FINRA principal licenses (Series 7, 24, and 63/65 or 66)
About Crux
www.cruxclimate.comCrux is a capital markets technology company focused on transforming the financing landscape for clean energy and manufacturing projects in the United States. The platform connects developers, manufacturers, and financial institutions to facilitate liquidity and efficient transactions, including debt capital markets and transferable tax credit marketplaces. Crux leverages advanced market intelligence and data to streamline project financing processes, helping clients access capital and optimize their financial strategies for a sustainable energy future.