---
title: 'Vice President of Compliance at Octaura'
canonical: 'https://feeny.ai/job/vice-president-of-compliance-octaura-new-york-c5nm2hzwtkv3'
type: 'job'
last_seen: '2026-09-08'
---

# Vice President of Compliance at Octaura

- **Company:** Octaura
- **Location:** New York, NY
- **Posted:** 2026-08-17
- **Last confirmed live:** 2026-09-08
- **Apply:** https://job-boards.greenhouse.io/octaura/jobs/5200858007

## Job description

Come build what the market has been missing.

Octaura is a technology company transforming how some of the world’s largest, least digitized markets operate. In loans and CLOs, trillions of dollars still move through phones, emails, and PDFs because the right infrastructure hasn’t existed — until now.

We’re applying AI, real-time data, and modern software design to asset classes long overlooked by fintech. Our platforms turn fragmented information into intelligence, manual workflows into automation, and legacy conventions into scalable market infrastructure.

You’ll join a high-impact, collaborative team building the systems these markets need to become more transparent, efficient, and connected.

## The role in a nutshell

Octaura is seeking a commercially minded Head of Compliance to lead compliance as the business enters its next phase of growth. The VP of Compliance will protect the firm and its clients while helping leadership pursue well-informed, responsible commercial opportunities.

This is a hands-on role and Octaura’s primary compliance authority. The VP of Compliance will own the framework supporting the U.S. institutional broker-dealer and develop proportionate governance for an expanding technology and data business.

Working with the CEO and executive team, the VP of Compliance will identify and escalate material risks and embed compliance into products, processes and commercial decisions. Building on an established foundation, they will continuously look for ways to simplify, strengthen and automate controls as the organisation scales.

Core responsibilities

- Serve as designated Chief Compliance Officer for Octaura’s U.S. institutional broker-dealer, ensuring compliance with FINRA, SEC and applicable federal and state requirements.
- Advise the executive team, balancing regulatory obligations with commercial objectives and escalating material risks clearly and promptly.
- Own and continuously improve the compliance programme, including policies, written supervisory procedures, risk assessments, annual testing, control evidence and regulatory reporting.
- Lead employee and personnel compliance, including registrations, licensing, outside business activities, personal trading, attestations, gifts and entertainment, training, recordkeeping and FINRA Gateway administration.
- Own the AML programme, including risk assessments, customer and activity monitoring, escalation, suspicious activity reporting and ongoing enhancement of policies and controls.
- Oversee regulatory filings and reporting, including TRACE, and lead examinations, inquiries and responses with accurate, timely and well-supported submissions.
- Develop and operate proportionate market, trade and e-commerce surveillance for an electronic fixed-income marketplace, including controls addressing manipulation and other forms of market abuse.
- Select, implement and refine compliance and surveillance technology, ensuring alerts, thresholds, investigations and escalation processes remain effective as activity grows.
- Own marketing and communications compliance, applying FINRA rules to institutional, product and corporate materials.
- Establish practical data- and AI-governance frameworks covering ownership, access, permitted use, retention, accountability and regulatory risk.
- Partner with Product, Engineering, Technology, Operations, Go-to-Market and Legal to translate regulation into practical requirements, automated controls and auditable workflows.
- Act as a proactive problem solver: identify emerging risks and operational gaps early, challenge inefficient practices and continuously seek opportunities to simplify, standardise and automate compliance processes through RegTech and responsible use of AI.
- Monitor regulatory developments and support new products, entities, partnerships, acquisitions and international expansion by identifying requirements early and implementing proportionate governance.

Desired experience

- Approximately 6–10 years of progressive financial-services compliance experience, including meaningful responsibility within a U.S. broker-dealer. Evidence of judgement and impact matters more than tenure alone.
- Series 24 or Series 14 qualification is required; Series 7, Series 63 and/or Series 8 are advantageous.
- Strong knowledge of FINRA and SEC requirements, with the ability to interpret regulation and convert it into effective, workable controls.
- Strong employee and personnel compliance experience, including registrations, personal trading, outside activities, attestations, training and supervisory processes.
- Understanding of fixed-income products, institutional market structure and broker-dealer operations; electronic trading and TRACE experience are highly desirable.
- Experience across AML, regulatory examinations, risk assessments, annual testing, policies and written supervisory procedures.
- Experience in marketing and communications compliance; exposure to trade surveillance, data governance, AI governance or RegTech is advantageous.
- A proactive, process-improvement mindset, with evidence of identifying problems early and simplifying, standardising or automating compliance activity while strengthening controls.
- Commercially aware and solutions-oriented, with the confidence to challenge constructively, make sound decisions and enable responsible growth.
- Highly analytical, organised and self-directed, with the drive to operate as a hands-on compliance leader across multiple entities and communicate credibly with executives, regulators and colleagues.

The base pay range for this position in New York is $180,000 - $230,000 annually. Pay may vary depending on job-related knowledge, skills, and experience. Equity and year-end bonus may be provided as part of the compensation package, in addition to a full range of medical, financial, and other benefits, dependent on the position offered. Applicants should apply via Octaura's internal or external careers site. Octaura Work Perks

At Octaura, our people are our most valuable asset, and we are pleased to offer the following benefits to all full-time employees:

- Competitive compensation and equity
- Flexible Paid Time Off
- Competitive Parental Leave
- Daily breakfast, coffee and snacks in the office
- 90% company-paid healthcare
- Onsite gym & discounted membership

We’re committed to equal opportunity employment

Octaura is committed to a diverse and inclusive workplace. We are an equal opportunity employer and do not discriminate on the basis of race, national origin, gender, gender identity, sexual orientation, protected veteran status, disability, age, or other legally protected status.

## About Octaura

## Company Overview
- **One-liner**: Octaura provides an electronic trading platform and data analytics suite for secondary trading in syndicated loans and collateralized loan obligations (CLOs), bringing transparency and efficiency to traditionally opaque credit markets.
- **Entity Type**: Private (Series A)
- **Headquarters**: New York, New York, United States (5 Penn Plaza, Suite 6S)
- **Founded**: 2022
- **Founders**: Brian Bejile (CEO) and Dave Trepanier (co-founders, originated from joint incubation between Bank of America and Citi)

## Core Business
- **Primary industry**: Financial technology (Fintech) – specifically electronic trading and data analytics for leveraged loans and structured credit.
- **Target customers**: Financial institutions (B2B) – including dealers, buyside firms (asset managers, hedge funds, banks), and middle/back-office teams. Platform connects dozens of dealers and over 150 buyside firms.
- **Mission or purpose statement**: “Unlock markets with us” – focused on reducing friction, errors, and opacity in loan and CLO trading.

## Products & Services
- **Octaura Trading Platform (Loans & CLOs)**: A digital platform for electronic execution of syndicated loan and CLO trades, including Bid Wanted in Competition (BWIC) lists, Market List protocol, and CLO list trading. Supports real-time pricing and liquidity metrics.
- **Octaura Intelligence**: Proprietary engine that powers trading platforms and insights with fast, accurate data from the platform plus historical and third-party data.
- **Octaura Liquidity Metrics (OLM)**: Suite of tools to quantify the ease and likelihood of execution across assets, helping traders act decisively.
- **Octaura Pricing**: Data feeds combining proprietary real-time trading data, historical data, and third-party data for up-to-date market views.
- **Octaura Insights Platform (Beta)**: Analytics and visualizations platform providing industry views of loan and CLO market liquidity, real-time pricing, news, and metrics.
- **Market List Protocol**: A workflow that connects sellers directly to dealer and buyside communities, reducing manual errors and time spent on list trading.
- **CLO Lists & Live Feedback Workflow**: Centralized system for managing CLO BWIC lists, notifications, and bids, eliminating spreadsheets.

## Market Standing
- **Valuation/Market Cap**: Not disclosed (private company)
- **Key Metric**: Total funding raised $46.5M (Series A, raised ~1 year ago as of mid-2025)
- **Notable Investors/Partners**: Morgan Stanley, Bank of America, Moody’s, Wells Fargo, OMERS Ventures, and 11 other investors (including Citi as a founding backer).
- **Growth Signals**: Active user base of over 150 buyside firms and dozens of dealers; launched Insights Platform in beta; introduced Live Feedback workflow for CLO BWIC trading; continues to expand trading protocols and data offerings. The platform celebrated its 3-year anniversary in 2025.

## Competitive Advantages
- **First-mover in electronic loan/CLO trading**: Built on the combined expertise of two major bank platforms (Citi’s Velocity CLO eBidding and BofA’s Instinct Loan Match), giving it unique institutional credibility.
- **Proprietary data network effect**: Real-time proprietary trading data combined with historical and third-party data creates a high-resolution picture of opaque credit markets that competitors (like iLex) can’t easily replicate.
- **Deep domain expertise**: Leadership team comes from senior trading and technology roles at major banks (Citi, J.P. Morgan, etc.) with decades of experience in the asset class.
- **Integrated workflow**: Covers the entire trade lifecycle – from list creation and pricing to execution and analytics – reducing manual errors and improving efficiency.

## Strategic Focus
- **Expand data and analytics offerings**: The beta launch of Octaura Insights and ongoing development of Liquidity Metrics indicate a push to become the go-to data provider for loan and CLO markets.
- **Broaden asset class coverage**: The platform is described as multi-asset class, multi-protocol, suggesting plans to expand beyond loans and CLOs.
- **Increase market adoption**: Grow the buyside and dealer network to deepen liquidity and create network effects.
- **Modernize legacy workflows**: Continue replacing manual spreadsheets and phone-based trading with automated, transparent electronic protocols.

## Why Work Here
- **Culture highlights**: Fast-growing, innovative fintech startup with a mission to transform credit markets. Emphasis on diversity (CEO Brian Bejile has led initiatives for underrepresented groups in finance). Collaborative, trader-led environment.
- **Remote/hybrid/office policy**: Roles listed are based in New York City (e.g., Software Engineer, Product Manager), with in-office perks indicating an office-first culture. No explicit remote policy mentioned, but flexible paid time off is offered.
- **Notable perks**: 90% company-paid medical, dental, and vision; onsite gym & discounted memberships; free breakfast Mondays, daily coffee/snacks, free lunch Fridays, weekly happy hour; competitive parental leave; comprehensive wellness program; employee equity; competitive compensation.
- **Engineering culture**: Led by CTO Luis Carballo (former CTO of Cencor, built BIVA stock exchange infrastructure). Focus on cloud-native, multi-asset class platform. Open roles include Software Engineer (full-stack and front-end) and Product Manager.

## Sources
1. [octaura.com](https://octaura.com/)
2. [octaura.com/about/](https://octaura.com/about/)
3. [job-boards.greenhouse.io/octaura](http://job-boards.greenhouse.io/octaura)
4. [cbinsights.com](https://www.cbinsights.com/company/octaura)

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- [Cloud Operations Engineer](https://feeny.ai/job/cloud-operations-engineer-octaura-new-york-5bhngsnkfcb5) — New York, NY
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