Chief Compliance Officer, US Institutional Broker-Dealer

Posted 2 days ago

octauraNew York (NY)

Compliance Managers Investment Banking and Securities Intermediation

SENIORITY

Director

Apply

About the role

Octaura is seeking a commercially minded Head of Compliance to lead regulatory affairs as the company grows in the U.S. institutional broker-dealer space. The VP of Compliance will own the compliance framework and partner with the CEO and executive team to balance risk with opportunity. This hands-on leader will build and sustain policies, risk assessments, AML, surveillance, and data/AI governance while guiding filings, audits, and training across multiple entities.

Before you apply

Applying takes about a minute. These four things decide how fast it moves after that.

Your profile is current

It's what we read first. Occupations, seniority and locations matter more than a long history.

Two examples you can talk through

Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.

A number in mind

What you're on now and what would make you move. We negotiate better when we know both.

Your notice period

Employers plan around it, and it's the question that stalls offers most often.

Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.