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

Contingent Professionals

Program Manager with Oracle Migration Job at Contingent Professionals

 ...leadership skills, interpersonal skills, coaching skills, cross-team management skills ~ Leading teams to generate a vision, establish...  ...and releases, Oracle Cloud ERP methodologies, tools, and assets/accelerators~ Keep skills up to date w.r.t. Industry certifications... 

NTT DATA, Inc.

Business Operations Senior Analyst Job at NTT DATA, Inc.

 ...AO - Business Operations Sr. Analyst The Client Management Services organization supports our NTT DATA Account Leaders in Contract Management, Account Governance and Business Process Compliance activities to enable timely order-to-cash process and effective coordination... 

Kahler Slater

Interior Designer Job at Kahler Slater

 ...Interior Designer Education, Sports + Culture Team Kahler Slater is seeking an Interior Designer for our Education, Sports + Culture Team in delivering higher education, sports and recreation and/or civic cultural projects. Our ideal Interior Designer is a problem... 

Eighti Republic

Audio Engineer, Internship Job at Eighti Republic

Eighti Republic is looking for a reliable and motivated individual to assist in daily studio operations and audio management responsibilities. The audio engineer assistant will assist Eighti Studios (location) in administrating task, scheduling studio sessions, tracking... 

Get It Recruit - Educational Services

Teacher - Remote | WFH Job at Get It Recruit - Educational Services

 ...re reshaping how students learn, and we're looking for talented teachers and tutors with special education experience to join our team!...  ...of your home. Why You'll Love This Opportunity: Flexible, Remote Work: Teach from home on your own computer, with the freedom to...