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# Chief Compliance Officer with a FinTech Platform – Salt Lake City, UT


Role Overview for Chief Compliance Officer with a FinTech Platform – Salt Lake City, UT
JRG Partners is proud to partner with a pioneering and rapidly scaling FinTech platform in their search for a Chief Compliance Officer (CCO). Based in the vibrant tech hub of Salt Lake City, UT, this is a career-defining opportunity for a seasoned compliance leader to build and helm the compliance function of a company that is reshaping the future of financial services. Our client is at the forefront of financial innovation, leveraging technology to create more accessible, efficient, and transparent financial products. As they enter their next phase of significant growth, the establishment of a world-class compliance framework is paramount to their sustained success and market leadership.
The Chief Compliance Officer will be a cornerstone of the executive leadership team, reporting directly to the Chief Executive Officer and working closely with the Board of Directors. This individual will be the ultimate authority on regulatory matters, tasked with the strategic design, implementation, and continuous enhancement of the company’s comprehensive Compliance Management System (CMS). More than just a regulatory expert, the ideal CCO will be a strategic business partner, adept at navigating the complex regulatory landscape while enabling sustainable innovation and growth.
You will be responsible for fostering a deeply embedded culture of compliance and integrity throughout the organization, ensuring that every employee, from product development to customer support, understands and champions their role in maintaining the company’s high ethical standards. This role requires a visionary leader who can anticipate future regulatory trends, build a high-performing compliance team from the ground up, and provide the critical guidance necessary to protect the company, its customers, and its stakeholders in an ever-evolving digital economy.
Key Responsibilities of Chief Compliance Officer with a FinTech Platform – Salt Lake City, UT
The Chief Compliance Officer will have a broad and impactful mandate. Your primary responsibilities will encompass the full spectrum of compliance strategy and operations, including but not limited to:
Strategic Leadership and Program Development
Architect, implement, and maintain a robust, scalable, and effective enterprise-wide Compliance Management System (CMS). This includes drafting and enforcing policies, procedures, and internal controls to ensure adherence to all legal and regulatory requirements. Serve as the principal compliance advisor to the executive team and the Board of Directors, offering expert guidance on compliance risks and strategic business initiatives.
Regulatory Oversight and Relationship Management
Act as the primary liaison with all federal and state regulatory bodies, including the CFPB, FinCEN, OFAC, SEC, and state banking and financial services departments. Proactively manage all regulatory examinations, audits, and inquiries, ensuring timely and accurate responses. You will be responsible for interpreting and communicating new regulations and guidance, assessing their impact on the business, and directing the implementation of necessary changes.
BSA/AML and Sanctions Program Management
Oversee the company’s comprehensive Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) and Office of Foreign Assets Control (OFAC) sanctions compliance programs. This includes managing customer identification programs (CIP), transaction monitoring, suspicious activity reporting (SAR) filings, and sanctions screening processes to effectively combat money laundering and terrorist financing.
Risk Assessment and Mitigation
Design and execute a continuous compliance risk assessment program to identify, analyze, and mitigate potential regulatory and reputational risks across all business lines and product offerings. You will develop key risk indicators (KRIs) and reporting dashboards to provide the leadership team with clear visibility into the company’s compliance posture.
Policy and Procedure Governance
Establish a comprehensive framework for the development, approval, and maintenance of all compliance-related policies and procedures. Ensure all documentation is current, accessible, and effectively communicated throughout the organization.
Training and Education
Develop and deliver a dynamic, role-based compliance training program for all employees, executives, and board members. The goal is to foster a pervasive culture of compliance awareness and ethical behavior, making compliance a shared responsibility.
Cross-Functional Collaboration
Partner closely with Product, Engineering, Marketing, and Operations teams to embed a ‘compliance-by-design’ philosophy into the product development lifecycle. Provide expert guidance to ensure new products and features are launched in a compliant and responsible manner.
Licensing and Expansion
Manage the company’s portfolio of state money transmitter licenses (MTLs) and other necessary financial services licenses. Oversee the process for obtaining new licenses to support strategic geographic and product expansion.
Consumer Protection Oversight
Ensure strict adherence to all consumer protection laws and regulations, including UDAAP (Unfair, Deceptive, or Abusive Acts or Practices), Regulation E (Electronic Fund Transfers), and Regulation Z (Truth in Lending), to safeguard consumer interests and maintain trust.
Reporting and Analytics
Prepare and present clear, concise, and actionable compliance reports to senior management and the Board of Directors, detailing program performance, key risks, regulatory updates, and strategic recommendations.
Requirements for the Chief Compliance Officer with a FinTech Platform – Salt Lake City, UT
We are seeking a distinguished professional with a proven track record of excellence in compliance leadership within complex financial environments. The ideal candidate will possess a unique blend of deep regulatory expertise, strategic thinking, and operational prowess.
Experience
A minimum of 15 years of progressive experience in compliance roles within the financial services industry. At least 7 of these years must be in a senior leadership capacity, with direct experience building and managing a compliance function. Substantial experience within a FinTech company, payments processor, or innovative banking institution is essential.
Education
A Juris Doctor (J.D.) from an accredited law school is strongly preferred. A Bachelor’s degree in a relevant field (e.g., Finance, Business, Law) is required.
Certifications
Professional certifications such as Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), or similar credentials are highly desirable.
Deep Subject Matter Expertise
Expert-level knowledge of the intricate web of federal and state regulations governing the financial services and payments industry. This includes, but is not limited to, the Bank Secrecy Act, USA PATRIOT Act, OFAC sanctions, money transmission laws, consumer protection statutes (UDAAP, TILA, EFTA), and data privacy laws (GLBA, CCPA).
Proven Leadership
Demonstrated ability to build, mentor, and lead a high-performing team of compliance professionals. Experience setting strategic direction, managing budgets, and driving results in a fast-paced, high-growth environment.
Strategic and Business-Oriented Mindset
The ability to translate complex regulatory requirements into practical, actionable business solutions. You must be a problem-solver who can balance risk mitigation with the need for business innovation and speed to market.
Exceptional Communication Skills
Superior written and verbal communication skills are critical. You must be able to articulate complex compliance concepts clearly and persuasively to a wide range of audiences, from engineers and product managers to regulators and the Board of Directors.
Unquestionable Integrity
Impeccable ethics and a profound sense of integrity are non-negotiable. You must be a leader who inspires trust and confidence through your actions and decisions.
Benefits & Perks Offered
Our client is committed to attracting and retaining top talent by offering a highly competitive compensation and benefits package, designed to support the well-being and professional growth of their employees.
Competitive Compensation
A highly attractive base salary, significant performance-based annual bonus, and a substantial equity package.
Comprehensive Health Coverage
Premium medical, dental, and vision insurance plans for you and your dependents with minimal employee contribution.
Retirement Savings
A robust 401(k) plan with a generous company match to help you plan for your future.
Generous Time Off
A flexible and generous paid time off (PTO) policy, in addition to paid company holidays, to encourage a healthy work-life balance.
Professional Development
A dedicated annual budget for continuing education, professional certifications, and industry conference attendance to support your growth.
Relocation Support
A comprehensive relocation package is available for exceptional candidates moving to the Salt Lake City area.
Modern Work Environment
A state-of-the-art office located in Salt Lake City, designed for collaboration and innovation, complete with a fully stocked kitchen, wellness rooms, and other modern amenities.
How to Apply
If you are a strategic compliance leader with the experience and passion to build a best-in-class compliance program at the intersection of finance and technology, we encourage you to apply for this exceptional opportunity. JRG Partners is a premier executive search firm specializing in placing top-tier executives within high-growth sectors. To learn more about our dedicated practice and to submit your confidential application, please visit our Financial Services Practice page. We look forward to reviewing your qualifications.
Our client is an Equal Opportunity Employer. They celebrate diversity and are committed to creating an inclusive environment for all employees. All employment is decided on the basis of qualifications, merit, and business need.