General Counsel & Chief Compliance Officer Job at OpenYield, New York, NY

bGZpcTIxNXhDT0RzTWJWTGl5eUV6Tk91MGc9PQ==
  • OpenYield
  • New York, NY

Job Description

About OpenYield

OpenYield is transforming fixed income trading with a next-generation marketplace that delivers firm, executable prices—instantly actionable at scale. As we grow, we’re seeking a dynamic General Counsel & Chief Compliance Officer (GC & CCO) to lead our legal and compliance functions, ensuring we stay ahead of regulatory requirements while enabling business growth.

Role Overview

As GC & CCO, you will own the compliance function across our broker-dealer and alternative trading system (ATS) while also serving as a key strategic partner in negotiations, risk management, and international expansion. You’ll bring a technology-first mindset to process development, enabling automation and scalability wherever possible.

Key Responsibilities

  • Lead Compliance & Regulatory Oversight
    • Ensure full compliance with SEC, FINRA, and other applicable regulations governing our broker-dealer and ATS.
    • Manage regulatory relationships, including FINRA exams, reporting, and inquiries.
    • Develop and implement policies to support a scalable and efficient compliance function.
  • Institutional Agreement Negotiations
    • Lead negotiations for trading agreements, counterparty onboarding, and strategic partnerships.
    • Balance legal risk with commercial objectives to drive business growth.
  • Process & Technology-Driven Compliance
    • Build compliance processes with a technology-first approach, reducing friction and improving efficiency.
    • Leverage automation to streamline compliance monitoring and reporting.
  • Risk Management & Business Enablement
    • Identify and mitigate legal and regulatory risks while enabling commercial opportunities.
    • Partner with leadership to align compliance strategy with business objectives.
  • International Expansion
    • Advise on legal and regulatory considerations for global expansion.
    • Ensure compliance with cross-border trading and regulatory frameworks.

Qualifications

  • 10+ years of experience in securities law, compliance, or financial regulation.
  • Prior experience as GC, CCO, or senior legal/compliance leader in a broker-dealer, ideally an ATS.
  • FINRA licenses: 7, 24. 53 is a plus
  • Deep understanding of SEC, FINRA, and broker-dealer regulations.
  • Strong track record negotiating institutional trading agreements.
  • Ability to build scalable compliance processes using technology.
  • Experience interfacing with regulators and managing examinations.
  • Strategic thinker with a commercial mindset—able to assess risk while enabling business growth.

For your application, cite GoInhouse.com as the job source.

Why OpenYield?

  • Lead compliance and legal functions at a high-growth fintech.
  • Work at the intersection of cutting-edge technology and fixed-income trading.
  • Drive meaningful impact in a fast-moving, execution-focused environment.

If you're excited about shaping the future of electronic trading while leading compliance at a firm that values technology and efficiency, we’d love to hear from you.

Job Tags

Full time,

Similar Jobs

JPMorgan Chase

Merchant Services Business Development Job at JPMorgan Chase

Join the Commercial Banking Merchant Services Sales team! In this role, you will drive the end-to-end client experience.As a Sales representative within Merchant Services covering the Core sector, you will focus primarily on generating new business from prospective clients...

Biz Voice Boost

Entry Level Marketing Agent Job at Biz Voice Boost

 ...Job Title: Entry Level Marketing Agent Location: Raleigh, NC Reports To: Marketing Manager Job Overview Are you eager to kickstart...  ...skills Proficiency in social media platforms and digital marketing tools Ability to work effectively in a team-oriented... 

Elsevier

Publisher Job at Elsevier

 ...Publisher Do you have experience managing journals in STM publishing? Can you drive content growth and build solid relationships within the academic community? About our Team At STM Journals, we collaborate with researchers to facilitate the publication... 

Globe Life AIL - Karla Estrada

Remote Customer Service Representative Job at Globe Life AIL - Karla Estrada

About Us: Join a team that values great customer service and a positive work culture! Were looking for enthusiastic, problem-solving individuals to join us as Remote Customer Service Representatives . If you thrive in a fast-paced, supportive environment and are ...

ExecRecruitment

GIS Program Manager or Specialist Job at ExecRecruitment

 ...support professional growth. One of our direct clients is actively seeking aGIS Program Manager or Specialist to join their team. Job Title:GIS Program Manager or Specialist Location: Remote Duration: 6 months+ extension Job Duties The duties of a GIS...