Cache Financials Inc

Location: Remote

About Us

Cache builds modern, tax-smart solutions for investors with concentrated stock positions. Our flagship Exchange Fund combines technological precision with thoughtful, human guidance to make tax-deferred diversification more accessible.

We are lean, profitable, and growing, with a culture built around ownership, sound judgment, and high standards.

The Role:

Cache is hiring a Chief Compliance Officer to lead the compliance function across two affiliated regulated entities: Cache Securities, LLC, a FINRA-registered broker-dealer, and Cache Advisors, an SEC-registered investment adviser.

This senior leadership role has broad ownership of the regulatory and operational compliance programs supporting Cache’s Exchange Funds and other concentrated-stock solutions. You will serve as the firm’s senior point of contact on compliance matters, provide independent regulatory judgment, and help the business grow within a strong, scalable control environment.

We are looking for an experienced compliance leader who understands how broker-dealer, investment adviser, and private-fund requirements intersect. The right candidate combines technical depth with practical judgment and can bring clarity to new products, technologies, and business models.

Location: United States, remote-friendly

Responsibilities:

• Lead the compliance program
  • Direct the compliance programs for Cache Securities and Cache Advisors, including policies, compliance manuals, written supervisory procedures, risk assessments, testing, surveillance, and remediation.
  • Oversee required reviews, testing, reports, and certifications under FINRA Rules 3120 and 3130 and Investment Advisers Act Rule 206(4)-7.
  • Serve as the firm’s senior compliance representative with the SEC, FINRA, state regulators, auditors, the board, counterparties, and other stakeholders.
  • Lead regulatory examinations and audits, including responses, document production, findings, and remediation.
  • Maintain strong documentation standards across testing, investigations, decisions, exceptions, and regulatory communications.
• Manage regulatory filings and oversight
  • Oversee regulatory registrations, filings, and reporting, including Web CRD administration, Form ADV, Form PF, Forms 13F and 13H, and Schedules 13D and 13G, as applicable.
  • Direct the firm’s anti-money laundering program, including AML/KYC processes, watchlist screening, employee training, certifications, regulatory filings, and Section 314(b) participation where applicable.
  • Maintain effective Code of Ethics, employee certification, personal-trading, books-and-records, and regulatory-documentation processes.
  • Oversee applicable federal and state securities requirements, including Regulation D, Rule 506, notice filings, and broker-dealer and investment adviser registrations.
• Guide products and communications
  • Provide independent regulatory analysis for new products, fund structures, custodial integrations, operational changes, and business initiatives.
  • Review marketing, correspondence, electronic communications, and other public-facing materials under applicable SEC and FINRA requirements.
  • Translate regulatory requirements into clear, practical guidance for business, legal, operations, risk, product, and engineering teams.
  • Identify emerging regulatory developments and advise leadership on their implications for Cache’s products and operations.
• Build for scale
• • Define and advance a scalable compliance operating model as the company grows.
  • Partner with Engineering and Operations to strengthen controls and streamline manual processes through thoughtful automation.
  • Guide the responsible use of AI and other emerging technologies within the compliance function.
  • Build structure where needed while preserving the independence, rigor, and credibility of the compliance program.

What Will Make You Successful:

• 10+ years of progressively senior compliance experience within a broker-dealer, registered investment adviser, private-fund organization, alternative-investment firm, or regulated fintech.
• Deep knowledge of broker-dealer or investment adviser regulation, with working fluency across both regimes. Experience overseeing both is strongly preferred.
• Experience with private funds, including Regulation D, Rule 506, state notice filings, and private-fund adviser obligations.
• Demonstrated ownership of compliance testing programs, including workpapers, findings, escalation, and remediation tracking.
• Strong understanding of investor onboarding and subscription processes, including AML/KYC requirements and investor documentation.
• Significant experience reviewing marketing and communications for regulatory compliance.
• Working knowledge of privacy, cybersecurity, identity-theft prevention, and information-security requirements, including Regulation S-P and Regulation S-ID.
• Experience with sophisticated products and investors, including complex trusts and corporate accounts.
• A record of building or scaling compliance functions in fast-moving environments.
• Sound, independent judgment and the ability to balance regulatory obligations with practical business considerations.
• Clear, credible communication with regulators, senior leaders, boards, employees, and external partners.
• Exceptional attention to detail and documentation discipline.
• Comfort operating through ambiguity and creating structure for new products and evolving processes.

Preferred Qualifications:

• J.D. strongly preferred.
• Relevant professional certification, such as IACCP, CAMS, CRCM, CCEP, or a comparable credential.
• Experience with Exchange Funds or other concentrated-stock solutions.
• Familiarity with compliance and marketing-review platforms such as Hadrius, COMPLY, or Red Oak.
• Experience with SOC examinations, third-party risk management, and vendor oversight.
• Experience navigating multistate broker-dealer and investment adviser registration requirements.
• Registrations
  • Appropriate FINRA qualifications for the role, such as the Series 14 or the Series 7 and Series 24, are preferred. Candidates who are not currently registered must be willing and able to obtain the required qualifications within the applicable regulatory timeframe.

To apply:  Please email careers@usecache.com  with a cover letter explaining why you'd be a good fit.