Compliance

• Serve as the primary compliance professional for Crux’s broker-dealer and RIA subsidiaries, ensuring compliance with FINRA, SEC, and state securities laws.
• Develop and maintain compliance policies, procedures, and supervisory systems aligned with FINRA, SEC, and other applicable standards.
• Oversee supervisory controls, annual reviews, testing, and risk assessments.
• Manage all regulatory examinations, audits, and filings, including Form ADV, Form BD, FINRA membership continuing requirements, and related reports.
• Serve as a key liaison with regulators, external counsel, auditors, and internal teams on all compliance-related matters.
• Ensure appropriate registration, training, and oversight 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 oversight, and surveillance programs tailored to Crux’s products and platform.
• Oversee 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 oversight.
• Collaborate with Legal, Finance, and Operations to maintain a robust, scalable compliance framework consistent with Crux’s growth and regulatory posture.

Founding Compliance Leader – Director, CCO

Senior Principal, IT Governance, Risk and Compliance – GRC

Senior Regulatory Affairs Specialist

Senior Contracts & Compliance Specialist

Compliance Consultant, GDP – Contract

Compliance Intern