Chief Compliance Officer, Meridian Platform Securities

Meridian Platform Securities LLC is a registered broker-dealer and placement agent for the private markets, working with fund managers, sponsors, and issuers. The role is the firm's first in-house Chief Compliance Officer, responsible for standing up and owning the compliance program end to end, serving as Series 24 principal, and acting as a trusted partner to leadership and the deal team. The firm operates hubs in New York City and San Francisco, with most roles working from the office at least two days per week (Tuesdays and either Wednesday or Thursday).

Responsibilities

Serve as the firm's designated CCO under FINRA Rule 3130 and own the Written Supervisory Procedures; Act as the deal team's compliance partner by reviewing and clearing diligence, marketing materials, private placement memoranda, and investor communications, and pressure-testing new product structures; Manage FINRA and SEC examinations, inquiries, and correspondence, and run the annual compliance review with findings to senior management; Own registration and licensing across jurisdictions, maintain books and records under SEC Rules 17a-3 and 17a-4, and manage outside counsel on regulatory matters; Administer the firm's AML/BSA program and monitor FINRA, SEC, FinCEN, and state developments; Serve as the firm's Series 24 principal and primary contact with FINRA, the SEC, and applicable state regulators; Build and maintain the regulatory framework and take over the compliance program from a vendor handoff

Requirements

Active Series 24 in good standing; 7+ years of compliance experience at a FINRA-registered broker-dealer; 3+ years in a senior or lead compliance role (ideally an online BD or fintech); Knowledge of private placements, Regulation D, secondaries, and how placement agents operate; Hands-on experience managing FINRA cycle exams and regulatory inquiries; Want to be the first in-house compliance hire and build the program from early stages

Nice to have

Experience with SPVs, fund administration, syndication platforms, or exempt offering structures

Benefits

Competitive base salary; benefits; equity package; Funders & Founders program