Overview
General Counsel & Chief Compliance Officer Jobs in New York, New York, USA at OpenYield Inc.
Location: New York
About Open Yield
Open Yield is transforming fixed income trading with a next-generation marketplace that delivers firm, executable prices—instantly actionable  we grow, we’re seeking a dynamicGeneral 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, counter party 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 Open Yield?
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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Title: General Counsel & Chief Compliance Officer
Company: OpenYield Inc.
Location: New York, New York, USA
Category: Law/Legal (Regulatory Compliance Specialist)
