Chief Compliance Officer, Ramp Advisory LLC
"About the Role"
About This Role
Ramp is hiring an experienced Chief Compliance Officer (CCO) for Ramp Advisory LLC, its SEC-registered investment adviser. This is a high-accountability, build-and-own role: you will own and be accountable for the firm's compliance program in house, acting as the gatekeeper who protects clients and the firm while keeping pace with Ramp's product velocity. You will report to Ramp's Head of Compliance, with direct access to Ramp Advisory's senior leadership.
What You'll Be Doing
Serving as Ramp Advisory LLC's designated CCO, with independent authority over the design, execution and effectiveness of the compliance program
Acting as the firm's primary point of contact with the SEC, representing the program, product and key compliance decisions to regulators
Maintaining the firm's policies and procedures, Code of Ethics, and Form ADV and its amendments, and conducting the annual compliance review
Providing compliance advice and sign-off on marketing materials, customer disclosures, onboarding agreements and product changes
Owning books and records, communications monitoring, complaints handling, employee training, and access-person and personal-trading requirements
Overseeing key financial partners and vendors from a compliance standpoint
Shaping customer onboarding strategy in partnership with Product, Engineering and Customer Experience to build scalable controls and monitoring
Building and maintaining the firm's anti-money laundering program
What We're Looking For
8+ years in investment adviser compliance, including prior experience as a CCO or deputy CCO of an SEC-registered adviser
Experience in the fintech space
Deep working knowledge of the Advisers Act and SEC expectations
Direct experience supporting SEC examinations and interfacing with regulators
Experience overseeing custodian, broker-dealer or sub-adviser relationships
Sound, independent judgment — the ability to make and defend compliance decisions in real time, grounded in regulatory guidance, and to hold a position with senior stakeholders
AI fluency and demonstrated experience using AI and automation to build and scale compliance programs
Comfort operating as a standalone compliance lead in a fast-moving environment
Experience building controls and leading program design initiatives in partnership with engineering teams and cross-functional partners
Bonus Points
Experience building or scaling a compliance program at a high-growth company
Experience with cash management or fixed income strategies
Experience with digital or technology-enabled advisory models
Ready to Apply?
To submit your application for this position, please visit Ramp Network's official website and follow their application process.