Vice President of Compliance

The role in a nutshell  

Octaura is seeking a commercially minded Head of Compliance to lead compliance as the business enters its next phase of growth. The VP of Compliance will protect the firm and its clients while helping leadership pursue well-informed, responsible commercial opportunities.

This is a hands-on role and Octaura’s primary compliance authority. The VP of Compliance will own the framework supporting the U.S. institutional broker-dealer and develop proportionate governance for an expanding technology and data business.

Working with the CEO and executive team, the VP of Compliance will identify and escalate material risks and embed compliance into products, processes and commercial decisions. Building on an established foundation, they will continuously look for ways to simplify, strengthen and automate controls as the organisation scales.

Core responsibilities 

• Serve as designated Chief Compliance Officer for Octaura’s U.S. institutional broker-dealer, ensuring compliance with FINRA, SEC and applicable federal and state requirements.
• Advise the executive team, balancing regulatory obligations with commercial objectives and escalating material risks clearly and promptly.
• Own and continuously improve the compliance programme, including policies, written supervisory procedures, risk assessments, annual testing, control evidence and regulatory reporting.
• Lead employee and personnel compliance, including registrations, licensing, outside business activities, personal trading, attestations, gifts and entertainment, training, recordkeeping and FINRA Gateway administration.
• Own the AML programme, including risk assessments, customer and activity monitoring, escalation, suspicious activity reporting and ongoing enhancement of policies and controls.
• Oversee regulatory filings and reporting, including TRACE, and lead examinations, inquiries and responses with accurate, timely and well-supported submissions.
• Develop and operate proportionate market, trade and e-commerce surveillance for an electronic fixed-income marketplace, including controls addressing manipulation and other forms of market abuse.
• Select, implement and refine compliance and surveillance technology, ensuring alerts, thresholds, investigations and escalation processes remain effective as activity grows.
• Own marketing and communications compliance, applying FINRA rules to institutional, product and corporate materials.
• Establish practical data- and AI-governance frameworks covering ownership, access, permitted use, retention, accountability and regulatory risk.
• Partner with Product, Engineering, Technology, Operations, Go-to-Market and Legal to translate regulation into practical requirements, automated controls and auditable workflows.
• Act as a proactive problem solver: identify emerging risks and operational gaps early, challenge inefficient practices and continuously seek opportunities to simplify, standardise and automate compliance processes through RegTech and responsible use of AI.
• Monitor regulatory developments and support new products, entities, partnerships, acquisitions and international expansion by identifying requirements early and implementing proportionate governance.

Desired experience 

• Approximately 6–10 years of progressive financial-services compliance experience, including meaningful responsibility within a U.S. broker-dealer. Evidence of judgement and impact matters more than tenure alone.
• Series 24 or Series 14 qualification is required; Series 7, Series 63 and/or Series 8 are advantageous.
• Strong knowledge of FINRA and SEC requirements, with the ability to interpret regulation and convert it into effective, workable controls.
• Strong employee and personnel compliance experience, including registrations, personal trading, outside activities, attestations, training and supervisory processes.
• Understanding of fixed-income products, institutional market structure and broker-dealer operations; electronic trading and TRACE experience are highly desirable.
• Experience across AML, regulatory examinations, risk assessments, annual testing, policies and written supervisory procedures.
• Experience in marketing and communications compliance; exposure to trade surveillance, data governance, AI governance or RegTech is advantageous.
• A proactive, process-improvement mindset, with evidence of identifying problems early and simplifying, standardising or automating compliance activity while strengthening controls.
• Commercially aware and solutions-oriented, with the confidence to challenge constructively, make sound decisions and enable responsible growth.
• Highly analytical, organised and self-directed, with the drive to operate as a hands-on compliance leader across multiple entities and communicate credibly with executives, regulators and colleagues.

The base pay range for this position in New York is $180,000 - $230,000 annually. Pay may vary depending on job-related knowledge, skills, and experience. Equity and year-end bonus may be provided as part of the compensation package, in addition to a full range of medical, financial, and other benefits, dependent on the position offered. Applicants should apply via Octaura's internal or external careers site.