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.

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.

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