ABOUT THE OPPORTUNITY
We are conducting a confidential executive search on behalf of a fast-growing, global organization preparing for a significant capital raise and international expansion. The company operates at the intersection of high-value transactions, premium service delivery, and sophisticated technology — serving an exclusive, privacy-sensitive clientele across multiple continents.
This is a foundational leadership hire. The incoming Chief Compliance Officer will build and own the compliance function from the ground up, partnering directly with the CEO and Board to establish enterprise-wide governance, regulatory adherence, and risk management frameworks that can scale with the business.
WHY THIS ROLE
This is a rare opportunity to serve as the first CCO at a high-trajectory organization — with direct board access, genuine strategic influence, and the mandate to build something lasting. The right candidate will thrive in a fast-moving, entrepreneurial environment where compliance is viewed as a competitive advantage, not a checkbox.
KEY RESPONSIBILITIES
Regulatory Compliance & Securities Law
Design and lead the organization's global compliance program, with particular emphasis on US securities regulations, private placement frameworks (Reg D / Reg S), and investor onboarding requirements
Ensure all capital raise activity and investor relations meet SEC, FINRA, and applicable state regulatory standards
Advise on broker-dealer regulatory requirements and manage relationships with external legal counsel and regulatory bodies
Monitor evolving regulatory landscapes across all operating jurisdictions and translate requirements into actionable business directives
AML / KYC Oversight
Develop and enforce robust AML and KYC frameworks governing investor and client onboarding for high-value transactions
Oversee CDD, EDD, transaction monitoring, OFAC screening, and BSA reporting obligations
Ensure compliance with FinCEN requirements, including real estate AML rules applicable to high-value cross-border transactions
Data Privacy & Security Governance
Design and enforce world-class data privacy protocols for a high-net-worth, privacy-sensitive client base
Ensure full compliance with GDPR, CCPA, and emerging global privacy standards
Partner with technology leadership to embed privacy-by-design principles across all platforms and data systems
Risk Management & Internal Audit
Establish an internal audit function providing the CEO and Board with transparent reporting on operational health and regulatory adherence
Conduct regular enterprise risk assessments across all business units and geographies
Build and maintain a third-party risk management program covering vendors, partners, and intermediaries
Ethics, Governance & Training
Develop a corporate Code of Conduct and global ethics program reflective of the organization's standards and values
Oversee FCPA / ABAC compliance and anti-bribery training across the global team
Report directly to the CEO and Board on all compliance matters; serve as the senior compliance voice in executive and board settings
IDEAL CANDIDATE PROFILE
Experience
10+ years of compliance or legal leadership experience, with a strong foundation in US securities law and financial services regulation
Direct experience with broker-dealer compliance frameworks (FINRA Rule 3110, supervision requirements, etc.) and/or SEC-registered entities
Proven track record managing AML/KYC programs in a financial services or fintech context — not just healthcare or tech
Background in private placements, capital raises, or investor onboarding compliance strongly preferred
Experience operating across multiple continents and complex legal jurisdictions
Track record of building compliance programs from scratch in high-growth or pre-IPO environments
Technical Expertise
Deep knowledge of AML/BSA, KYC/KYB/CDD/EDD, OFAC, and FinCEN requirements
Command of US securities regulations: SEC, FINRA, Reg D, Reg S, and broker-dealer oversight
Strong command of global data privacy law: GDPR, CCPA, and emerging standards
FCPA / ABAC expertise and cross-border anti-corruption compliance
Education & Certifications
JD or Master's in Law or Compliance strongly preferred
CAMS (Certified Anti-Money Laundering Specialist) — strongly preferred, near-essential given the role's AML scope
CCEP, LPEC, or equivalent compliance certifications a plus
Attributes
Exceptional executive presence — comfortable presenting to boards, investors, and regulators
High discretion and sound judgment; experience handling confidential, high-stakes matters
Entrepreneurial mindset — able to build structure and process in ambiguous, fast-moving environments
Commercial orientation — views compliance as a business enabler, not a blocker