Chief Compliance Officer

MarketDash is building a modern managed-investing experience for everyday investors.

Our vision is simple: a client selects a transparent, rules-based portfolio, opens or connects a brokerage account, completes digital onboarding, funds the account, and receives automated investing and rebalancing.

We are looking for an experienced Fractional Chief Compliance Officer to help us build the right regulatory and operational foundation for MarketDash Managed.

This is not a traditional wealth-management role. We are looking for someone who understands consumer fintech, digital RIAs, brokerage and custodian integrations, model portfolios, and automated investing products.

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What You’ll Do

• Help determine the best path to launch: partner with an existing RIA or establish MarketDash Advisers
• Lead or oversee RIA registration, Form ADV filings, advisory agreements, disclosures, and compliance policies
• Build the compliance program for a retail, brokerage-connected managed-investing product
• Advise on digital client onboarding, suitability, risk profiling, trading authority, model portfolios, and rebalancing
• Review custodian and brokerage API relationships and related compliance obligations
• Establish policies for marketing, testimonials, performance advertising, affiliates, strategy creators, and conflicts of interest
• Create a practical compliance calendar, testing program, books-and-records process, and regulatory-exam readiness plan
• Partner closely with product, operations, and leadership to build guardrails that allow the company to move quickly and responsibly

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What We’re Looking For

• 7+ years of experience in investment-adviser, broker-dealer, custodian, robo-advisor, or consumer-fintech compliance
• Prior experience as a CCO, Deputy CCO, Head of Compliance, or senior RIA compliance leader
• Direct experience launching, registering, or operating an SEC- or state-registered RIA
• Strong knowledge of discretionary investment management, model portfolios, retail advisory accounts, and automated trading/rebalancing
• Experience with brokerage/custodian relationships and digital account-opening workflows
• Strong understanding of SEC/state advertising, performance, testimonial, disclosure, and conflict-of-interest requirements
• Series 65 or Series 66 required; Series 24 is strongly preferred
• Clear communicator who can translate regulatory requirements into practical product and operating decisions

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Engagement

This role begins as a fractional or contract engagement, with a clear initial project to define the RIA launch structure and compliance roadmap. There is potential for the role to expand into a longer-term leadership position as MarketDash Managed grows.

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How to Apply

Note: This is a syndicated job post. Fractional Jobs found it on the web, but we are not working with the client directly, so we don't have control over or knowledge of the application process. To apply, click on the "View Application" button and follow the application's instructions. Let us know how it goes!