Job Description

*Location*: Irvine, CA (Main Office in Irvine Spectrum, 5 days on-site)

About Us:

Autopilot is a cutting-edge trading app and registered investment advisor (RIA), revolutionizing how people invest and trade. We are backed by Craft Ventures (Airbnb, Slack, Tesla) and Nomad Ventures (Intro, Bezel). Seed-stage startup with the growth and metrics of a Series B company!

We're the team behind the viral app to invest alongside Politicians and have amassed 1.3M downloads, 2.5M+ social media followers, $700M+ in assets under management (AUM), 140k+ users, and a rapidly growing community of 80k+ subscribers. Autopilot is ranked among the Top 50 Most Downloaded Finance Apps. We connect to the largest financial brokerages in the U.S., delivering innovative trading tools inspired by market icons such as Nancy Pelosi, Jim Cramer, Warren Buffett, and Bill Ackman, as well as innovative pilots like Quiver Quantitative and Liquidity Tracker.

The Role:

We are searching for a Chief Compliance Officer (CCO) to lead and enforce the firm’s compliance with the Investment Advisers Act of 1940 and other applicable regulations. The ideal candidate will have extensive experience working with SEC-registered investment advisers , particularly those serving retail investors , and must be capable of representing the firm before the Securities and Exchange Commission (SEC) .

Key Responsibilities:

Regulatory Compliance & Monitoring:

• Ensure firm-wide adherence to the Investment Advisers Act of 1940 and SEC regulations.
• Oversee and review marketing communications to ensure compliance with regulatory requirements.
• Monitor and analyze employee trading activities to prevent conflicts of interest and ensure adherence to firm policies.
• Develop and enforce compliance policies and procedures to ensure regulatory compliance.

Regulatory Representation & Engagement:

• Act as the firm’s representative before the SEC, handling regulatory inquiries, examinations, and filings.
• Collaborate with external legal counsel and regulatory bodies as needed.

Program Review & Development:

• Work closely with the executive team to enhance and update the firm’s compliance program.
• Develop and implement new policies to align with evolving SEC regulations and industry best practices.

Training & Internal Education:

• Design and conduct compliance training programs for employees to ensure awareness of SEC regulations and firm policies.
• Provide guidance on compliance-related matters to internal teams, ensuring regulatory best practices are followed.

Compliance Reporting & Documentation:

• Maintain accurate and comprehensive records of compliance activities, including monitoring reports, regulatory filings, and training documentation.
• Assist in the preparation of reports for internal use and regulatory submissions.

Qualifications:

Education & Experience:

• Bachelor’s degree in Finance, Accounting, Business Administration, or a related field.
• 5-10+ years of regulatory compliance experience, specifically within an SEC-registered investment adviser.
• Deep expertise in the Investment Advisers Act of 1940 and SEC compliance frameworks.
• Proven experience working with investment advisers that serve retail investors.
• Direct experience representing a firm before the SEC.

Benefits:

• Benefits: Generous UNLIMITED PTO (and we mean it!).
• Mandated two-week holiday shutdown at the end of the year for Christmas and New Year’s + company holidays.
• Autopilot covers 99% of premiums for employee and dependent benefits (health, dental, vision).
• Top-of-the-line equipment: laptops, external monitors, standing desks, etc.
• Access to a beautiful WeWork office in Irvine Spectrum:
• Unlimited nitro cold brew and weekly office events.
• Free monthly parking pass.
• Onsite gym.
• Shared communal space/office with other thriving companies and startups.
• Walkable access to a variety of restaurants and amenities.

Job Tags

Similar Jobs