Chief Compliance Officer

The Compliance team supports the business with developing and releasing cutting-edge features for millions of customers around the world.

We’re looking for a Chief Compliance Officer and Head of AML to lead Revolut Securities and Revolut Wealth. We’re a self-directed, SEC-registered securities broker-dealer, member of the Financial Industry Regulatory Authority (FINRA), and investment advisor using our state-of-the-art Robo Advisor.

Up to shape the future of finance? Let’s get in touch.

What you’ll be doing

• Supporting compliance efforts related to supervisory oversight, e-mail surveillance, branch office exams, licensing, advertising, reporting, etc.
• Collaborating with senior management across departments to train employees and promote a culture of compliance and ethical conduct
• Monitoring the effectiveness of established compliance processes and controls across the business, and recommending and implementing improvements
• Updating broker-dealer and investment advisor manuals based on new regulations or process enhancements
• Advising on FINRA and SEC rules related to our Robo Advisor and broker-dealer, interpreting guidance as applicable to internal policies and procedures
• Effectively reviewing and analyzing complex situations, applying judgment to resolve issues
• Managing KYC processes for new customers, enforcing accurate review of OFAC searches
• Managing regulatory exams, investigations, and inquiries conducted by FINRA and SEC regulators
• Assessing the inherent risk of business units and the effectiveness of mitigating controls to minimize reputational, regulatory, or operational risk
• Integrating industry benchmarking and best practices through ongoing research, education, and industry affiliations

What you’ll need

• A bachelor’s degree
• 10+ years of experience
• Series 7 and 24 licenses
• Expertise in investment advisory, including conflicts of interest, Form ADV, and related reporting
• Efficient time management skills to initiate and manage projects effectively

Nice to have

• Other regulatory licenses
• Experience within fintech
• Knowledge of self-directed broker-dealers and robo advisors

Compensation range

• New York: $204,250 – $215,000 gross annually*
• US: $204,250 – $215,000 gross annually*
• Other locations: Compensation will be discussed during the interview process