SlipstreamJobs tracks this role from the company's public career site. Apply directly on the employer's site.
Octaura is a fintech company transforming institutional lending and CLO markets through AI, real-time data, and modern software infrastructure. The company is digitizing trillions of dollars in loans and structured credit that currently move through legacy channels (phones, emails, PDFs).
As Vice President of Compliance, you will be the primary compliance authority and designated Chief Compliance Officer for Octaura's U.S. institutional broker-dealer. This is a hands-on, strategic role reporting to the CEO and executive team.
Key responsibilities include:
- Serve as CCO for the broker-dealer, ensuring FINRA, SEC, and federal/state regulatory compliance
- Develop and continuously improve the compliance program: policies, written supervisory procedures, risk assessments, testing, control evidence, and regulatory reporting
- Lead employee and personnel compliance (registrations, licensing, outside business activities, personal trading, FINRA Gateway administration)
- Own the AML program: risk assessments, customer/activity monitoring, suspicious activity reporting, policy enhancement
- Oversee regulatory filings (TRACE) and manage examinations, inquiries, and regulatory submissions
- Develop market, trade, and e-commerce surveillance for the electronic fixed-income marketplace, addressing manipulation and market abuse
- Select, implement, and refine compliance and surveillance technology
- Establish data and AI governance frameworks covering ownership, access, permitted use, retention, and regulatory risk
- Partner with Product, Engineering, Technology, Operations, and Legal to embed compliance into products and processes
- Identify emerging risks early, challenge inefficient practices, and drive automation through RegTech and responsible AI
- Support new products, entities, partnerships, and international expansion with proportionate governance
You will balance regulatory obligations with commercial objectives, escalating material risks clearly and promptly to leadership. The role offers the opportunity to build compliance infrastructure for a high-growth fintech at a critical scaling phase.
