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Ramp is seeking an experienced Chief Compliance Officer (CCO) for Ramp Advisory LLC, the company's SEC-registered investment adviser. This is a high-accountability, build-and-own role where you will own and be accountable for the firm's compliance program in house, serving as the gatekeeper who protects clients and the firm while keeping pace with Ramp's fast product development cycle. You will report to Ramp's Head of Compliance with direct access to Ramp Advisory's senior leadership.
In this role, you will serve as Ramp Advisory LLC's designated CCO with independent authority over the design, execution, and effectiveness of the compliance program. You will act as the firm's primary point of contact with the SEC and represent the program, product, and key compliance decisions with regulators. You will maintain the firm's policies and procedures, Code of Ethics, and Form ADV and amendments, and conduct the annual compliance review. You will provide compliance advice and sign-off on marketing materials, customer disclosures, onboarding agreements, and product changes.
Key responsibilities include owning books and records, communications monitoring, complaints handling, employee training, and access-person and personal-trading requirements. You will oversee key financial partners and vendors from a compliance standpoint, shape customer onboarding strategy in partnership with Product, Engineering, and Customer Experience teams to build scalable controls and monitoring, and build and maintain the firm's anti-money laundering program.
Ramp automates how over $200B in annualized spend flows in and out of 70,000+ companies, authorizing payments, flagging risk, categorizing spend, and closing books. The company is building the smart infrastructure for finance teams, embedded in the transaction flow of every dollar a business spends.
REQUIREMENTS:
- 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
