---
title: 'Brokerage and RIA CCO at ARQ'
canonical: 'https://feeny.ai/job/brokerage-and-ria-cco-arq-new-york-06mqqqs0mfz4'
type: 'job'
last_seen: '2026-10-30'
---

# Brokerage and RIA CCO at ARQ

- **Company:** ARQ
- **Location:** New York, NY
- **Employment:** full-time
- **Work type:** hybrid
- **Posted:** 2026-10-27
- **Last confirmed live:** 2026-10-30
- **Apply:** https://jobs.ashbyhq.com/arq/adbdfa7d-c2d0-4338-8e46-ed4e70503e2b

## Job description

## About us

We’re a fast-growing fintech on a mission to redefine how Latin America manages its finances and this is your opportunity to be a crucial part of that transformation. Join a team of top talent from the world’s leading fintech and tech companies, and help build a cross-border financial system that’s modern, accessible, and built to scale.

Who we’re looking for We are looking for a Chief Compliance Officer to lead ARQ’s US investment compliance functions, serve as CCO for our SEC-registered investment adviser, and act as the proposed CCO for our introducing broker-dealer through its FINRA New Member Application (NMA) and launch. You will bring prior CCO experience across both SEC-registered RIAs and FINRA broker-dealers, with a strong understanding of digital investment platforms and clearing broker relationships. This is a hands-on role. You will oversee the RIA’s compliance program, help lead the broker-dealer application, and build the supervisory framework for launch. You will work closely with Product, Engineering, Operations, Legal, the BSA/AML Officer, and the outsourced FINOP to embed effective controls in ARQ’s investment offering.

What you’ll do:

- RIA program ownership: Administer the RIA’s compliance policies, risk assessment, monitoring, testing, and documented annual review. Maintain the compliance calendar and report material risks and remediation progress to leadership.
- FINRA application and launch: Help lead the NMA with FINRA, counsel, and internal teams. Develop written supervisory procedures, prepare supporting materials, respond to information requests, participate in the membership interview, and verify compliance readiness before launch.
- Broker dealer supervision: Build and lead the compliance and supervisory framework for a fully disclosed introducing broker offering self-directed trading. Establish assigned supervisory responsibilities, account and transaction reviews, supervisory testing, escalation processes, and required annual reporting.
- Digital investment advice: Oversee compliance controls for automated, non-discretionary recommendations, including client questionnaires, risk profiles, portfolio methodology, algorithm testing, change management, and ongoing monitoring. Maintain clear disclosures and separation between advisory recommendations and independent customer trading.
- Marketing and communications: Review investment marketing, performance presentations, promotions, app content, and customer communications against applicable SEC and FINRA standards. Maintain approval records and electronic communications supervision.
- Disclosures and registrations: Manage Form ADV, Form CRS, Form BD, relevant amendments, and client delivery obligations. Coordinate individual registrations, continuing education, advisory agreements, and customer disclosures.
- Conflicts and conduct: Maintain the code of ethics and controls for personal trading, outside business activities, gifts and entertainment, and affiliate conflicts. Oversee fiduciary-duty controls and assess custody implications, fees, and collateral arrangements.
- Clearing and brokerage operations: Oversee compliance with introducing and clearing responsibilities, including account opening, order handling, applicable best execution obligations, transfers, and customer complaints. Coordinate with the clearing broker and outsourced FINOP on operational controls and regulatory obligations.
- Records and customer protection: Maintain compliant books and records, communications retention, privacy and safeguarding controls, and complaint handling. Work with Security and Engineering on incident response and customer notification processes.
- Examinations and coordination: Lead SEC and FINRA examinations and inquiries, coordinate audits and remediation, and train employees. Partner with the BSA/AML Officer on investment-related financial crime risks and clearly document responsibilities across teams.

## What you’ll need to succeed

- 10+ years of progressive securities compliance experience, with prior service as CCO for an SEC-registered investment adviser or FINRA broker-dealer.
- FINRA Series 24 qualification required.
- Direct experience supporting or leading a FINRA NMA, including supervisory procedures, regulatory responses, membership interviews, and preparation for launch.
- Strong knowledge of the Investment Advisers Act, Securities Exchange Act, SEC adviser requirements, and FINRA rules covering supervision, communications, records, registrations, and customer protection.
- Experience with fully disclosed introducing broker-dealers and clearing firms, including the division of compliance and operational responsibilities.
- Hands-on experience administering RIA annual reviews, marketing reviews, conflicts controls, codes of ethics, regulatory filings, and examinations.
- Experience with digital investment platforms, automated advice, and self-directed brokerage, including translating requirements into product and technology controls.
- Ability to coordinate effectively with a dedicated BSA/AML Officer and outsourced FINOP while maintaining clear ownership of the securities compliance program.
- Sound judgment, strong writing, and the confidence to engage regulators, challenge decisions, and explain practical solutions to senior leadership and technical teams.

Why join us?

- Competitive salary and equity - you share in our success
- Hybrid working role
- Flexible PTO and a “trust-first” culture
- Sign-on equity bonus
- Access to the latest tech and a modern tool stack
- Work with a high-calibre team building the future of finance across LATAM

## About ARQ

## Company Overview
- **One-liner**: ARQ (formerly DolarApp) is a global fintech platform that provides multi-currency accounts, real-time currency conversion, and investment access to US stocks and ETFs for individuals across the Americas.
- **Entity Type**: Private (funding stage not disclosed; raised tens of millions from top-tier investors)
- **Headquarters**: Not publicly available (serves the Americas; localized sites for Argentina and Mexico)
- **Founded**: 2021
- **Founders**: Not publicly available

## Core Business
- **Primary industry**: Fintech – cross‑border banking, payments, wealth management
- **Target customers**: B2C – travelers, investors, professionals, and global citizens in Latin America and beyond
- **Mission**: “Modern finance for the global era” – to give customers control over their money with faster, cheaper, and more transparent financial rails.

## Products & Services
- **ARQ Multi‑Currency Account**: A digital account supporting USD, EUR, and local currencies (e.g., Argentine peso, Mexican peso). Users can convert between currencies at real market rates with no hidden fees.
- **ARQ Debit Card**: A Mastercard (inferred) for spending at leading conversion rates with zero commission or hidden charges.
- **ARQ Investments**: Access to US stocks and ETFs directly from the ARQ account, enabling long‑term wealth building.
- **Payment Rails**: US and European local account details to receive and send payments globally.

## Market Standing
- **Valuation**: Not publicly available
- **Key Metric (Private)**: Total funding – “tens of millions of dollars” from renowned investors; 2 million users as of 2026-07-01
- **Notable Investors**: Sequoia Capital, Founders Fund, Brevan Howard Digital, Y Combinator, Kaszek Ventures
- **Growth Signals**: Rebranded from DolarApp to ARQ in 2024 (per Sequoia partnership date); rapid user growth (2M people); expansion across the Americas; product diversification into investing.

## Competitive Advantages
- **Transparent pricing**: Real market conversion rates, no hidden fees – a stark contrast to traditional banks
- **Global accounts**: Users get US and EU bank details and a debit card usable worldwide
- **World‑class backing**: Sequoia, Founders Fund, YC, etc. provide credibility and strategic support
- **Elite team**: Small, high‑caliber team with experience at Revolut, Uber, Amazon, Block, and UBS, enabling fast execution
- **Vertical integration**: Combining payments, currency exchange, and investing in one app

## Strategic Focus
- **Build the financial system of the next century** – replace legacy banking middleware with direct, customer‑owned rails
- **Scale across the Americas** – starting in Argentina and Mexico, then expanding to other markets
- **Deepen wealth management** – add more asset classes and long‑term savings tools
- **Maintain a lean, high‑impact team** – “small teams with the best talent outcompete massive companies”

## Why Work Here
- **Culture**: “Long‑term ambition and absolute conviction”; “nimble, but ambitious” – the careers page describes a mission‑driven, execution‑focused environment
- **Team & autonomy**: Small teams own meaningful product areas; high ownership and rapid iteration
- **Remote/office**: Not explicitly stated, but likely hybrid or remote‑friendly given the global nature of the business
- **Notable**: Founders and early employees have built profitable products at iconic companies; strong emphasis on “world‑class in everything we do”
- **Perks**: Not publicly disclosed, but likely competitive compensation and equity in a high‑growth fintech

## Sources
1. [arqfinance.com](https://www.arqfinance.com/en-AR)
2. [jobs.ashbyhq.com/arq](https://jobs.ashbyhq.com/arq)
3. [sequoiacap.com/companies/arq/](https://sequoiacap.com/companies/arq/)
4. [arqfinance.com/en-AR/careers](https://www.arqfinance.com/en-AR/careers)

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