General Counsel & Chief Compliance Officer

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OpenYield Inc

General Counsel & Chief Compliance Officer

New York, NY
Full Time
Paid
  • Responsibilities

    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.

    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.