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# Chief Compliance Officer with a FinTech Platform – Austin, TX



Role Overview for Chief Compliance Officer with a FinTech Platform – Austin, TX
JRG Partners is proud to represent a premier, venture-backed FinTech platform at the forefront of financial innovation. Based in the vibrant tech hub of Austin, TX, our client is revolutionizing how consumers and businesses interact with financial services through a cutting-edge, technology-driven approach. We are seeking a visionary and strategic Chief Compliance Officer (CCO) to join their executive leadership team. This is a pivotal role for a seasoned professional to build, lead, and scale a world-class compliance function that not only mitigates risk but also serves as a strategic enabler of business growth and innovation.
The Chief Compliance Officer will be the principal architect of the company’s compliance framework, responsible for ensuring the organization operates with the highest degree of integrity and in full alignment with all applicable laws, regulations, and industry best practices. As a key member of the executive team, you will report directly to the Chief Executive Officer and work closely with the Board of Directors, providing critical counsel on all compliance-related matters.
You will be tasked with navigating the complex and evolving regulatory landscape of the financial technology sector, balancing rigorous compliance with the agility required to thrive in a fast-paced, high-growth environment. This position demands a leader who is not only a subject matter expert in financial regulations but also a strategic business partner capable of fostering a strong, proactive compliance culture throughout the entire organization. Your leadership will be instrumental in building customer trust, securing market position, and driving the company’s long-term, sustainable success.
Key Responsibilities of Chief Compliance Officer with a FinTech Platform – Austin, TX
Strategic Leadership & Vision
Develop, implement, and continuously refine a comprehensive, forward-looking compliance management system (CMS) that aligns with the company’s strategic objectives. Serve as a key advisor to the CEO and executive team on compliance risk and regulatory strategy.
Regulatory Relationship Management
Act as the primary point of contact for all regulatory bodies, including the SEC, FINRA, CFPB, FinCEN, and various state regulators. Proactively manage regulatory examinations, inquiries, and reporting obligations with transparency and professionalism.
Policy & Procedure Development
Author, implement, and maintain clear and effective compliance policies, procedures, and internal controls across all business functions. Ensure policies are well-documented, accessible, and regularly updated to reflect changes in laws or business operations.
Risk Assessment & Mitigation
Design and execute a robust, enterprise-wide compliance risk assessment program to identify, analyze, and prioritize regulatory risks. Develop and implement effective risk mitigation strategies and controls to protect the company and its customers.
Monitoring, Testing, & Auditing
Establish and oversee a comprehensive compliance monitoring and testing program to assess the effectiveness of internal controls and ensure adherence to policies. Coordinate with internal and external auditors to facilitate audits and promptly address any findings.
Team Leadership & Development
Recruit, train, mentor, and lead a high-performing team of compliance professionals. Foster a collaborative and empowering environment that encourages professional growth and maintains a high standard of excellence.
Compliance Training & Culture
Champion a culture of compliance and ethics throughout the organization. Develop and deliver engaging and effective compliance training programs for all employees, leadership, and the Board of Directors.
Product & Innovation Counsel
Serve as a strategic partner to the product, engineering, and marketing teams. Provide expert compliance guidance from the ideation stage through launch to ensure new products and features are designed and marketed in a compliant manner.
BSA/AML & Sanctions Program Oversight
Oversee the company’s Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and Office of Foreign Assets Control (OFAC) sanctions programs. Ensure robust systems are in place for customer identification (CIP), transaction monitoring, and suspicious activity reporting (SAR).
Executive & Board Reporting
Prepare and present clear, concise, and actionable reports on the state of the compliance program, key risks, regulatory updates, and strategic initiatives to the executive leadership team and the Board of Directors.
Data Privacy & Security Collaboration
Partner with the Chief Information Security Officer (CISO) and Legal Counsel to ensure compliance with data privacy regulations such as GDPR, CCPA, and GLBA, safeguarding customer data and maintaining trust.
Requirements for the Chief Compliance Officer with a FinTech Platform – Austin, TX
Experience
A minimum of 15 years of progressive experience in compliance, legal, or risk management roles within the financial services industry. Significant experience within a FinTech, payments, or innovative banking environment is strongly required. At least 7 years of experience in a senior leadership capacity, managing a team of compliance professionals.
Education
A Juris Doctor (J.D.) from an ABA-accredited law school and admission to at least one state bar is highly preferred. A Bachelor’s degree from an accredited university is required.
Regulatory Expertise
Deep, expert-level knowledge of the U.S. financial regulatory landscape. This includes, but is not limited to, the Bank Secrecy Act, USA PATRIOT Act, consumer protection laws (e.g., TILA, ECOA, UDAAP, EFTA), state money transmitter laws, and a strong understanding of the FINRA regulatory framework.
Strategic Mindset
Proven ability to think strategically and translate complex regulatory requirements into practical, business-oriented solutions. Experience scaling a compliance program in a high-growth environment is essential.
Leadership & Communication Skills
Exceptional leadership presence with the ability to influence and build consensus across all levels of an organization. Outstanding written and verbal communication skills, capable of articulating complex concepts to diverse audiences, including regulators, board members, and engineers.
Analytical & Problem-Solving Abilities
Strong analytical skills with a data-driven approach to risk management and decision-making. A proven track record of successfully navigating complex compliance challenges and implementing effective solutions.
Certifications
Professional certifications such as Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), or Certified Compliance & Ethics Professional (CCEP) are highly desirable.
Personal Attributes
Unquestionable ethics, integrity, and sound judgment. A proactive, hands-on leader who is comfortable working in a dynamic, fast-paced, and technology-driven culture. A collaborative spirit and a passion for innovation in financial services.
Benefits & Perks Offered
Our client believes in investing in their team and offers a highly competitive and comprehensive benefits package designed to support the well-being and growth of their employees. This includes:
Competitive Compensation
A highly attractive executive salary, significant performance-based annual bonus, and a meaningful equity stake in a fast-growing company.
Comprehensive Health Coverage
Premium medical, dental, and vision insurance plans for you and your dependents with a significant portion of premiums covered by the company.
Retirement Savings
A robust 401(k) plan with a generous company matching contribution to help you plan for your future.
Generous Time Off
A flexible and unlimited Paid Time Off (PTO) policy, supplemented by numerous paid company holidays, encouraging a healthy work-life balance.
Professional Development
A substantial annual budget for continuous learning, including conferences, professional certifications, workshops, and other educational pursuits.
Parental Leave
A generous and supportive parental leave policy for all new parents.
Wellness Programs
A monthly wellness stipend that can be used for gym memberships, fitness classes, mental health apps, and more.
Modern Work Environment
A state-of-the-art office located in the heart of Austin, TX, featuring collaborative spaces, a fully stocked kitchen with healthy snacks and beverages, and catered lunches.
How to Apply
JRG Partners is proud to be the exclusive search partner for this exciting and critical leadership opportunity. If you are a visionary compliance leader with a passion for technology and a proven track record of building and scaling best-in-class compliance programs, we strongly encourage you to apply.
To be considered for this role, please submit your resume along with a cover letter detailing your specific qualifications and why you are the ideal candidate to lead this FinTech innovator’s compliance function. To learn more about our dedicated practice in this sector, you can explore our expertise in Financial Services and FinTech executive search. We look forward to reviewing your application.