Chief Compliance Officer, Ramp Advisory LLC
ABOUT THE ROLE
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. You will own and be accountable for the firm's compliance program in house, and be the gatekeeper who protects clients and the firm while keeping pace with how fast Ramp ships product. You will report to Ramp's Head of Compliance, with direct access to Ramp Advisory's senior leadership.
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
- 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
WHAT YOU NEED
- 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
NICE-TO-HAVES
- 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