Chief Compliance Officer

Sound Futures is a next-generation robo-advisor helping musicians turn streaming royalties into long-term wealth. We are preparing to file as a newly registered SEC RIA and seeking an experienced compliance professional to serve as our Chief Compliance Officer (CCO).

This role is essential for the initial RIA filing and regulatory setup, but once established, ongoing compliance will be light-touch, with monthly check-ins and periodic filings. Most day-to-day compliance is automated via Betterment for Advisors, significantly reducing traditional workload.

This is a part-time, remote position compensated in equity, offering meaningful ownership in a high-growth fintech building the future of music and investing.

• Oversee and guide the filing of Sound Futures as a new SEC-registered RIA.
• Develop, review, and maintain compliance policies and procedures tailored to our automated, low-touch advisory model.
• Conduct required regulatory filings (e.g., ADV updates, annual reviews).
• Coordinate with Betterment for Advisors to ensure alignment with their compliance standards and workflows.
• Provide ongoing compliance oversight, typically monthly check-ins, plus ad-hoc consultation as needed.
• Ensure adherence to SEC rules, recordkeeping requirements, and fiduciary standards.
• Serve as the firm’s primary point of contact for regulatory matters.

• Active Series 65 (or equivalent qualification that meets RIA CCO requirements).
• Prior experience as a CCO or compliance officer in an RIA or fintech environment.
• Strong understanding of SEC compliance frameworks, filings, and RIA regulatory landscape.
• Ability to design and oversee compliance processes for a modern, technology-driven advisory firm.
• Experience with robo-advisors or automated investment platforms (preferred but not required).
• Excellent communication skills and ability to collaborate remotely with a small founding team.
• Comfortable with a flexible, low-frequency oversight schedule.

• Equity-based compensation only (no salary at this stage).
• Meaningful ownership stake in a fast-growing fintech startup.
• Opportunity to shape compliance foundations from the beginning.

• Sound Futures empowers musicians to automatically invest a portion of their streaming royalties into diversified, long-term portfolios. By integrating directly with music distributors and leveraging a fully automated investment stack, we aim to help artists build lasting financial stability and generational wealth.