Chief Compliance Officer and General Counsel

About Aqua
Aqua is the operating system for wealth channel alternatives. We are building the platform for independent broker-dealers (IBDs) and independent financial advisors (RIAs) to invest in alternative assets. We are on track to process $5B in new transactions for 2025, with customer logos including some of the largest RIAs/BDs in the nation and asset managers including Blackstone, Apollo, JLL, Blue Owl, etc. We’ve raised $18.8M from investors including YC, Google, and Arthur Ventures.
About the Role
We are seeking a driven Chief Compliance Officer and General Counsel to lead compliance for our broker-dealer and to act as General Counsel for the firm. Our platform enables firms to centralize data, streamline operations, and enhance visibility across all alternative asset investments.
This role will own the compliance function and interface with registered representatives. Success in this role requires a mix of deep legal/compliance knowledge, great interpersonal skills, and comfort operating in a highly-regulated industry.
What You’ll Do
Compliance Oversight: Own the compliance function including onboarding registered reps, interfacing with FINRA, leading annual audits, and managing ongoing compliance requirements.
Contracts and Agreements Preparation: Prepare agreements including engagement letters, fee-share agreements, SaaS contracts, etc; Conduct due diligence on new registered representatives
Internal Collaboration: Partner closely with executive leadership and broker-dealer leadership to ensure compliance of the highest standard and a great client/registered representative experience.
Who You Are
5–8+ years of CCO experience from the regulated financial services world.
Strong understanding of BD workflows—compliance, operations, advisor distribution, and investment data.
Exceptional communication and relationship-building skills.
Must have a J.D.
Must have a Series 7, 63, and 24

Experience
6+ years

Work arrangement
No