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AngelList Venture is building the financial infrastructure for private markets, which now represent $28T in assets. The company operates multiple platforms: Funds (software and services for private funds), Nova (banking network), Meridian (wealth platform for accredited investors), and USVC (registered fund enabling broader venture access). With $200B+ in assets under management and 30,000+ startups funded, AngelList is establishing the equivalent of public market infrastructure for private markets.
As Chief Compliance Officer, you will serve as the firm's designated CCO under FINRA Rule 3130 and own the Written Supervisory Procedures. You will be the primary compliance partner to the deal team, reviewing and clearing diligence materials, marketing collateral, private placement memoranda, and investor communications. You will pressure-test new product structures to ensure they are built compliantly from inception, working on deal timelines.
You will manage all FINRA and SEC examinations, inquiries, and regulatory correspondence from initial notice through resolution. You will conduct the annual compliance review and report findings to senior management. Registration and licensing across jurisdictions—including principals, registered representatives, and state blue sky compliance—falls under your purview. You will maintain books and records under SEC Rules 17a-3 and 17a-4, and manage outside counsel on regulatory matters.
Administration of the firm's AML/BSA program is your responsibility, including monitoring developments from FINRA, SEC, FinCEN, and state regulators, translating regulatory changes into policy proactively.
This is the first in-house compliance hire, offering the opportunity to build the compliance program from early stages at a high-growth fintech with significant scale and regulatory complexity.
REQUIREMENTS:
- Active Series 24 license in good standing
- 7+ years of compliance experience at a FINRA-registered broker-dealer
- 3+ years in a senior or lead compliance role (ideally at an online broker-dealer or fintech)
- Demonstrated knowledge of private placements, Regulation D, secondaries, and placement agent mechanics
- Direct experience managing FINRA cycle examinations and regulatory inquiries (not just supporting them)
- Desire to be the first in-house compliance hire and build the program from early stages
- Bonus: Experience with SPVs, fund administration, syndication platforms, or exempt offering structures
