Job Description

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