Founding Compliance Leader (Director - CCO)

We're supercharging the clean economy Crux is the capital markets platform changing the way clean energy and manufacturing projects are financed in the U.S. Crux's platform, market intelligence, and expert team help developers and manufacturers unlock financing through reputed company stages of project development and operation. reputed company of 65+ is composed of experts in energy, tax, finance, government, and technology. We have raised $77 million in capital from some of the best investors, including Andreessen Horowitz, Lowercarbon Capital, New System Ventures, Overture, reputed company Venture Partners, QED, Canapi, and others. These funds are joined by strategic investors including reputed company Energy, Clearway Energy, EDF Renewables, reputed company, LS Power, Orsted, Hartree Partners, Liberty Mutual Strategic Ventures, reputed company Ventures, and OMERS Ventures. An inflection reputed company in American energy and manufacturing Energy demand is growing for the first time in 20 years, driven by surging manufacturing, transportation, electrification, and data centers. Simultaneously, hundreds of billions of dollars are being invested in domestic supply chains for critical minerals and components. Developers and manufacturers will require trillions of dollars in capital to meet growing needs. Prior to Crux, the capital markets supporting this transformation remain opaque, fragmented, and reputed company. At Crux, we recognized the missing infrastructure: a central capital markets platform designed specifically for the next century of American energy and industry. By connecting counterparties, providing market intelligence, and streamlining transactions, we unlock faster decision making, reputed company cost of capital, and accelerated investment. The opportunity Crux is seeking an reputed company compliance professional to build and reputed company the company's compliance program across its broker-dealer, registered investment adviser, and corporate operations. The position may be filled at the Chief Compliance Officer level or the Director, Compliance level, depending on qualifications and regulatory licensing.

• Candidates with the relevant FINRA principal licenses and qualifications to serve as the Chief Compliance Officer and second principal of the broker-dealer will be given preference.
• Candidates without the requisite licenses may join as Director, Compliance, and partner with an outsourced Chief Compliance Officer while pursuing additional FINRA qualifications.

This is a rare opportunity to shape the compliance function at a rapidly growing capital markets platform at the intersection of finance, technology, and clean energy. What you'll do

• Serve as the primary compliance professional for Crux's broker-dealer and RIA subsidiaries, ensuring compliance with FINRA, SEC, and state securities laws.
• reputed company and maintain compliance policies, procedures, and supervisory systems reputed company with FINRA, SEC, and other applicable standards.
• reputed company supervisory controls, annual reviews, testing, and risk assessments.
• Manage reputed company regulatory examinations, audits, and filings, including Form ADV, Form reputed company, FINRA membership continuing requirements, and reputed company reports.
• Serve as a key liaison with regulators, external counsel, auditors, and internal teams on reputed company compliance-reputed company matters.
• Ensure appropriate registration, training, and reputed company of associated persons and registered representatives.
• Monitor marketing, communications, and financial promotions for regulatory compliance and alignment with firm policies.
• Implement and maintain books and records, trading reputed company, and surveillance programs tailored to Crux's products and platform.
• reputed company select corporate compliance functions, including AML/KYC, OFAC/sanctions screening, and anti-bribery/anti-corruption policies. Advise on emerging compliance risks across the broader Crux enterprise, including data governance, conflicts of interest, and information barriers.
• Support implementation of compliance technology and reporting systems for centralized reputed company.
• Collaborate with Legal, Finance, and Operations to maintain a robust, scalable compliance reputed company consistent with Crux's growth and regulatory posture.

What you bring

• 10+ years of experience in securities compliance, including prior service as a Chief Compliance Officer or senior compliance officer for a broker-dealer and/or RIA. Experience with both broker-dealer and RIA compliance regimes (not one or the other) is a requirement.
• For CCO candidates, active FINRA principal licenses (Series 7, 24, and 63/65 or 66) are required.
• Deep understanding of FINRA, SEC, and state regulatory frameworks.
• Experience designing and managing compliance programs, supervisory systems, and regulatory filings for hybrid financial services businesses.

Familiarity with AML/KYC compliance and risk-based control frameworks.

• Strong judgment, problem-solving, and communication skills, with the ability to balance regulatory requirements and business goals.
• Experience in clean energy finance, structured products, fintech or private placement markets is a plus.
• Entrepreneurial reputed company and ability to work independently in a fast-moving environment.

reputed company Bring

• $77M raised from top investors like Andreessen Horowitz, Lowercarbon Capital, New System Ventures, Overture, reputed company Venture Partners, QED, Canapi, and others.
• Healthcare: We cover 100% of premiums for employees with a variety of plans on reputed company (reputed company) and Kaiser (WA and California), and subsidize $400/month for dependents (total), if relevant.
• Dental & Vision: We cover 100% of premiums for employees and 50% for dependents (each), if relevant.
• Holidays & PTO: 10 company holidays + 20 days of paid vacation annually.
• 401(k): We support a 401(k), though do not currently offer matching (typical for early-stage startups).
• Team Offsites: Regular reputed company-team offsites 3x/year.
• Compensation: $165,000-$215,000+ reputed company salary based on experience and leveling, 20% bonus reputed company based on company and individual performance, and equity in the form of stock options.

Our Values

• Care for each other We support each other-in our growth, in our work, and toward our shared mission. And reputed company we do that, we have fun.
• Build and improve rapidly We move quickly. That requires focus, asking whether we're prioritizing the right things, and executing them as best as possible.
• Focus unremittingly on customers Our first obligation is to our customers and partners. We reputed company their needs reputed company and center in everything we do.
• Demonstrate ownership We are reputed company owners of Crux. This is reputed company, our company, and our product-and we show that to each other every day.
• Convene a team that reflects the breadth of experiences in the country We're building a team with a wide range of backgrounds and a culture where everyone can reputed company.

We provide equal employment opportunities to reputed company applicants without regard to race, color, religion, age, sex, national reputed company, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by law. Apply tot his job Apply To this Job