About Hill
Hill.com is building the operating system to power the private markets. Founded by Andrew Benson, Hill is a marketplace for retail investors to trade pre-IPO companies. Hill is backed by HF0 and advised by the former president of Charles Schwab and Fidelity. Prior to Hill, Andrew founded River.com, a Bitcoin financial services company managing $3B in assets and backed by top venture capital firms (M13, Polychain, Craft Ventures, Slow Ventures, and Peter Thiel).
Hill is on a mission to bring the private markets to every household by 2030. We are starting with the ability to trade pre-IPO companies such as SpaceX, OpenAI, and more. The current state of pre-IPO stock trading is that transactions often take 60 days to close—we bring this down to 60 seconds.
We are forming a small team of highly talented individuals to achieve our ambitious mission. We are looking for a versatile and dynamic Chief Compliance Officer to join our leadership team.
What you’ll do
The Chief Compliance Officer (CCO) will serve as the primary point of contact for regulatory compliance within our broker-dealer operations. Reporting directly to the CEO, the CCO will oversee the development, implementation, and maintenance of a robust compliance program in line with FINRA, SEC, and other relevant securities regulations. This role is critical during our formative stage, including leading the broker-dealer registration process and ATS license application. The ideal candidate will bring deep expertise in securities compliance, a proactive leadership style, and the ability to contribute to broader business functions, potentially leveraging a legal background.
Key Responsibilities
Design, implement, and oversee the firm's compliance program, including policies, procedures, and controls to ensure full adherence to FINRA and SEC rules for broker-dealer activities.
Lead the process for forming the broker-dealer entity, including preparation and submission of Form BD to the SEC, FINRA membership application, and ongoing regulatory filings.
Spearhead the application for an Alternative Trading System (ATS) license, coordinating with internal teams and external advisors to meet SEC requirements under Regulation ATS.
Conduct regular risk assessments, audits, and testing of compliance systems to identify and mitigate potential violations.
Supervise day-to-day compliance operations, including trade surveillance, employee licensing, advertising reviews, and anti-money laundering (AML) programs.
Act as a thought partner to the CEO, helping to refine and execute the company's vision and strategy by managing special projects and strategic initiatives.
Serve as the liaison with regulatory bodies such as FINRA and the SEC during examinations, inquiries, and reporting obligations.
Provide guidance and training to staff on compliance matters, fostering a culture of ethical conduct and regulatory awareness.
Stay abreast of evolving securities regulations and industry best practices to proactively update the compliance framework.
What we’re looking for
Required Qualifications
Minimum of 5 years of experience in securities compliance, with a focus on broker-dealer operations.
Expertise in FINRA and SEC regulations, including but not limited to Rules 3110 (Supervision), 3120 (Supervisory Control System), and 3130 (Annual Certification of Compliance and Supervisory Processes).
FINRA Series 24 (General Securities Principal) license.
FINRA Series 7 (General Securities Representative) or Series 82 (Private Securities Offerings Representative) license.
Proven track record in leading compliance programs for broker-dealers, including experience with regulatory filings and examinations.
Strong analytical, organizational, and communication skills, with the ability to influence at all levels of the organization.
Preferred Qualifications
Juris Doctor (JD) degree and admission to the bar in at least one jurisdiction, enabling assistance with legal aspects of business operations.
Experience with private securities offerings, such as Regulation D exemptions or alternative investments.
Familiarity with ATS operations and the SEC Form ATS filing process.
Prior experience in a startup or growth-stage financial firm, particularly during entity formation phases.
Additional FINRA licenses (e.g., Series 27, Series 79, Series 63) or certifications in compliance (e.g., Certified Regulatory Compliance Manager).
What we offer
Competitive salary and equity package
Comprehensive health, dental, and vision benefits
Opportunity to shape a high-growth fintech company
Accelerated career growth and development
