Founding Compliance Leader (Director - CCO)

Crux

4 months ago

3.1 on Glassdoor

United States

Onsite

Full Time

Director

2 applicants

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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.

Skills

Qualifications

10+ years of experience in securities complianceActive FINRA principal licenses (Series 7, 24, and 63/65 or 66)

About Crux

www.cruxclimate.com

Crux 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.