---
title: 'Chief Compliance Officer at Moment'
canonical: 'https://feeny.ai/job/chief-compliance-officer-moment-new-york-zdav7zs34xww'
type: 'job'
last_seen: '2026-09-03'
---

# Chief Compliance Officer at Moment

- **Company:** Moment
- **Location:** New York, NY
- **Compensation:** $200k–$300k
- **Employment:** full-time
- **Work type:** onsite
- **Posted:** 2026-06-26
- **Last confirmed live:** 2026-09-03
- **Apply:** https://jobs.ashbyhq.com/moment/a7fe7ea0-648e-4a8d-a4ae-20afca3ff72d/application

**Skills:** SEC regulations, FINRA regulations, RIAs, Broker-Dealer compliance, Regulatory filings, Surveillance and monitoring, Compliance training, Fixed-income, Wealth-tech, AI agents

> The Chief Compliance Officer will own and improve the compliance program for the RIA and Broker-Dealer, managing regulatory relationships with the SEC and FINRA. This role involves overseeing surveillance, product reviews, and firm-wide compliance training while partnering with engineering and product teams to embed...

## Job description

## CHIEF COMPLIANCE OFFICER

- Team: Legal & Compliance
- Location: New York, NY
- Work mode: Onsite / Hybrid
- Comp: $260-$290K base + equity

BUILD THE FUTURE OF INVESTMENT MANAGEMENT WITH US

The infrastructure managing $300 trillion in assets was built in the 90s. Now, all of it is up for grabs. The winner of the AI era of investment management will be a $100B+ company. We intend to be that company.

To get there, we're assembling the most talent-dense startup in New York. We hire people who are 1) exceptional, 2) allergic to anything that's not exceptional, and 3) recruiters of other exceptional people. We also have no tolerance for brilliant jerks.

We run lean by design. We work with a select group of the largest financial institutions in the world, go incredibly deep with each, and sit in the flow of trillions of dollars. We hire fewer people, ask each to own the outcome, and pay on impact - not tenure or experience.

Moment is not for everyone. The standards are unreasonably high. The pace is intense. And there is no playbook.

In return: the best work of your career, building a generational company.

## ABOUT MOMENT

Moment is the AI operating system for investment management, built for the world's largest wealth firms and fintechs. Moment works with firms managing more than $10 trillion in client assets and is backed by Index, a16z, and Lightspeed. Moment was founded by former quants from Citadel and Jane Street and is based in NYC.

## THE ROLE

We’re hiring a Chief Compliance Officer (CCO) for our RIA and Broker-Dealer. The CCO will lead and oversee our compliance programs for each of our RIA and Broker-Dealer entities. As a senior member of the team, you'll interact with regulators on behalf of both entities, and partner daily with founders, legal, product, engineering, trading, and portfolio management.

## WHAT YOU'LL DO

- Expand and own the RIA and BD compliance programs end to end: own written policies and supervisory procedures, Code of Ethics, registration and licensing, regulatory filings, marketing and advertising review, best execution, net capital, books and records, and the annual compliance review. You'll monitor the effectiveness of established compliance processes and controls across the businesses, and recommend and implement enhancements.
- Provide Effective Risk Assessment and Management: proactively identify and asses inherent risks of the various business units, and implement mitigating controls to address and minimize regulatory risk exposure.
- Own surveillance and monitoring across both entities: own ongoing testing, employee oversight, pre-clearance, personal trading reviews, gifts and entertainment, and political contributions.
- Own new product and business review: clear new features, account types, and business lines before they go live, including owning relevant license applications to expand business lines and features. You'll be the partner who lets the platform move fast while doing so safely and in compliance with applicable laws, rules and regulations.
- Own examinations and regulator relationships: serve as the primary point of contact for the SEC and FINRA. You'll manage exams, respond to inquiries, and build credibility with regulators.
- Own firm-wide compliance training and culture: set the tone, build the training, and ensure compliance is embedded as a part of the firm’s DNA.
- Own how compliance gets built into the product: work side-by-side with engineers to turn rules into systems so compliance scales with the platform. You'll advise the firm on applicable SEC and FINRA rules and regulations, including interpretive guidance.

## YOU’RE A GOOD FIT IF YOU HAVE

- You've been the CCO or Deputy CCO of an SEC-registered IA and/or Broker-Dealer
- Comfortable being hands-on at a startup: you write the policy and you implement it.
- You hold a Series 7, 24, 63 (or 66)
- You've managed SEC and/or FINRA examinations directly, from document requests through resolution.
- Sound judgment under ambiguity with a bias for enabling the business safely

## EVEN BETTER IF YOU HAVE

- Fixed-income or wealth-tech background.
- Effectively scaled an RIA and/or BD compliance program.
- Built AI agents to scale compliance policies & procedures.

## COMPENSATION & BENEFITS

- Base salary: $260K to $290K
- Equity: Aggressive initial grant + annual performance-based bonuses
- Our beautiful West Village Office with a terrace
- Free lunch and dinner when in-office.
- $150 monthly gym/wellness stipend.
- Health, dental, and vision coverage. 100% company reimbursement

## About Moment

## Company Overview
- **One-liner**: Moment provides an AI-native operating system for investment management, unifying trading, research, portfolio optimization, reporting, risk, and compliance for fixed income.
- **Entity Type**: Private (Series C)
- **Headquarters**: New York, New York, United States
- **Founded**: 2022
- **Founders**: Dylan Parker (CEO & Co-Founder), Ammer Soliman (COO & Co-Founder), Bill Buzaid (CPO & Co-Founder), Dean Hathout (Co-Founder)

## Core Business
- **Primary industry/industries**: Financial Services, Fintech, Investment Management Technology
- **Target customers**: Large wealth management firms, RIAs, broker-dealers, private banks, and fintechs. Their clients include firms managing over $10 trillion in assets, such as Edward Jones, LPL Financial, and Hightower Advisors.
- **Mission or purpose statement**: To build the first AI-native operating system for investment management, modernizing the infrastructure that manages $300 trillion in assets.

## Products & Services
- **AI Operating System for Investment Management**: A unified platform that integrates trading, research, portfolio optimization, reporting, risk, and compliance into a single system with a layer of automation. It is designed to supercharge fixed income teams and unlock new revenue channels.
- **Fixed Income APIs**: A suite of APIs designed for programmatic delivery of fixed income trading, portfolio management, and data, enabling fintechs and wealth platforms to embed institutional-grade fixed income capabilities.
- **Automated Treasury Management (via Ramp Partnership)**: A new offering that provides institutionally managed fixed income portfolios directly within the Ramp platform, automating cash management, reinvestment, and rebalancing for finance teams.

## Market Standing
- **Valuation/Market Cap**: Not publicly disclosed.
- **Key Metric**: Total Funding of **$131M** (latest round: $78M Series C in June 2026).
- **Notable Investors/Partners**: Andreessen Horowitz (a16z), Index Ventures, Lightspeed Venture Partners, Contrary, Avra, Venrock. Key partners include Ramp, Edward Jones, LPL Financial, and Hightower Advisors.
- **Growth Signals**: The company has grown headcount by **80% YoY** to 77 employees. It has active job postings growing **333% YoY**. It recently announced a strategic partnership with Ramp to bring institutional cash management to finance teams. Its clients represent over **$10 trillion in assets under management**.

## Competitive Advantages
- **Founding Team Pedigree**: Founded by the team that built the automated credit desks at Citadel Securities and Jane Street, giving them deep domain expertise and a unique ability to pair industry knowledge with top-tier engineering talent.
- **First-Mover in AI-Native Fixed Income**: They are building the first operating system specifically for fixed income, a massive and underserved market. The infrastructure managing $300 trillion in assets is outdated, and Moment is positioned to be the winner of the AI era in this space.
- **Deep Client Integration**: They embed forward-deployed engineers with their largest clients to co-develop multi-year transformation roadmaps, creating high switching costs and deep, defensible relationships.
- **Talent Density**: The company explicitly focuses on hiring "the most talent-dense startup in New York," with a culture of high standards and ownership.

## Strategic Focus
- **Product Expansion**: Moving beyond fixed income trading to become the full "operating system" for investment management, covering the entire workflow.
- **Strategic Partnerships**: Deepening integrations with platforms like Ramp to expand into corporate treasury management and reach new customer segments.
- **Scaling the Platform**: Continuing to embed with the world's largest wealth firms and fintechs to co-create the future of fixed income and drive platform adoption.
- **Talent Acquisition**: Aggressively hiring to build a world-class team, with a focus on engineering, security, and strategy roles.

## Why Work Here
- **High-Impact, High-Ownership Culture**: The company explicitly states they "run lean by design," hire fewer people, and ask each person to "own the outcome." They pay on impact, not tenure. This is ideal for someone who wants to make a massive difference and work without a playbook.
- **Ambitious Mission**: The stated goal is to build a $100B+ company by winning the AI era of investment management. The work is described as "the best work of your career."
- **Talent Density**: They are assembling "the most talent-dense startup in New York" and hire people who are "exceptional" and "allergic to anything that’s not exceptional." They have no tolerance for "brilliant jerks."
- **Work Environment**: The pace is intense, and standards are "unreasonably high." It is a lean, high-ownership environment where you sit in the flow of trillions of dollars. The company is based in New York, NY, with a hybrid/office-first culture.
- **Compensation**: They pay on impact, not tenure or experience.

## Sources
1. [moment.com](https://moment.com/)
2. [moment.com/about](https://moment.com/about)
3. [moment.com/careers](https://moment.com/careers)
4. [linkedin.com/company/moment-markets](https://www.linkedin.com/company/moment-markets)
5. [cbinsights.com](https://www.cbinsights.com/company/moment-6)

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