Head of Compliance

About the role

We are looking for a Head of Compliance to own every regulatory surface at Keystone. You will be the primary point of contact with our broker dealer partner, run our supervisory procedures, lead KYC and AML for investor onboarding, and own the data privacy program.

What you'll do

• Own the relationship and supervisory framework with our broker dealer partner.
• Maintain the WSP (Written Supervisory Procedures) and update for every product or process change.
• Run KYC and AML on every onboarded investor and counterparty.
• Approve all marketing collateral, pitch decks, and investor communications.
• Lead the response to any FINRA, SEC, or state regulator inquiry.
• Own the GDPR, CCPA, and SOC 2 readiness program in partnership with engineering.

What you bring

• 8+ years in compliance at a registered broker dealer, RIA, or fintech.
• Series 7, 24, and 63.
• Deep knowledge of FINRA Rules 3110, 3120, 2210, and SEC Reg D.
• Experience standing up or running an AML program.
• Comfort drafting policy and translating regulation into product requirements.

Compensation & benefits

• Full health, dental, vision (100% premium covered)
• Equity grant
• 401(k) with 4% match
• CLE / CE budget
• Unlimited PTO with 4-week minimum

About Keystone Markets

Keystone Markets is the investor intelligence platform for founders, banks, and capital advisors. We give 100,000+ verified investors filterable by sector, stage, check size, and geography, paired with a human broker desk that runs warm introductions. We're a small, senior team building the platform we wish existed when we were placing capital ourselves.