Founding Compliance Leader (Director - CCO)

• Serve as the primary compliance professional for Crux's broker-dealer and RIA subsidiaries, ensuring compliance with FINRA, SEC, and state securities laws.
• Develop and maintain compliance policies, procedures, and supervisory systems aligned with FINRA, SEC, and other applicable standards.
• Oversee supervisory controls, annual reviews, testing, and risk assessments.
• Manage all regulatory examinations, audits, and filings, including Form ADV, Form BD, FINRA membership continuing requirements, and related reports.

This role helps accelerate investment in clean energy and manufacturing projects by building a robust compliance framework that enables Crux's capital markets platform to operate efficiently and securely, ultimately supporting the transition to a clean economy.

• 10+ years of experience in securities compliance, including prior service as a Chief Compliance Officer or senior compliance officer for a broker-dealer and/or RIA.
• For CCO candidates, active FINRA principal licenses (Series 7, 24, and 63/65 or 66) are required.
• Deep understanding of FINRA, SEC, and state regulatory frameworks.
• Experience designing and managing compliance programs, supervisory systems, and regulatory filings for hybrid financial services businesses.

• Compensation: $165,000-$215,000+ base salary based on experience and leveling, 20% bonus target based on company and individual performance, and equity in the form of stock options.
• Healthcare: 100% of premiums covered for employees with various plans, plus $400/month subsidy for dependents.
• Dental & Vision: 100% of premiums covered for employees and 50% for dependents.
• Holidays & PTO: 10 company holidays + 20 days of paid vacation annually.
• 401(k): Supported but no matching currently.
• Team Offsites: Regular all-team offsites 3x/year.

Crux is a capital markets platform that changes how clean energy and manufacturing projects are financed in the U.S., helping developers and manufacturers unlock financing through all stages of project development and operation.