The opportunity
Ramp is seeking an experienced Chief Compliance Officer (CCO) for Ramp Advisory LLC, our SEC-registered investment adviser. This is a high-accountability, build-and-own role.
What you'll do
Serve as Ramp Advisory LLC’s designated CCO, with independent authority over: the design, execution and effectiveness of the compliance program
Act as the firm’s primary point of contact with the SEC, and represent the: program, product and key compliance decisions with regulators
Maintain the firm’s policies and procedures, Code of Ethics, and Form ADV and: amendments, and conduct the annual compliance review
Provide compliance advice and sign-off on marketing materials, customer: disclosures, onboarding agreements and product changes
Own books and records, communications monitoring, complaints handling,: employee training, and access-person and personal-trading requirements
Oversee key financial partners and vendors from a compliance standpoint
What they're looking for
- Shape customer onboarding strategy, partnering with Product, Engineering and: Customer Experience to build scalable controls and monitoring
- Build and maintain the firm’s anti-money laundering program
