Job Description

Oakpoint Advisors specializes in crafting and executing bespoke capital formation strategies for private funds and companies. Through its registered broker-dealer, Oakpoint Solutions LLC, the firm collaborates with select GPs and companies in a private placement capacity. In addition, Oakpoint Advisors provides comprehensive outsourced Investor Relations services. Headquartered in Tampa, Florida, and established in 2009.

Responsibilities

• Serve as the firm’s FINRA-designated CCO , ensuring adherence to all applicable regulations, including SEC and FINRA rules, as well as state and federal securities laws.
• Stay up to date on evolving regulatory requirements and proactively advise on compliance risks.
• Oversee AML/KYC programs , ensuring full compliance with the Bank Secrecy Act (BSA) and other applicable anti-money laundering regulations.
• Conduct annual compliance reviews , risk assessments, and internal audits to ensure adherence to best practices.
• Supervise and provide guidance to registered representatives and associated persons to ensure they comply with firm policies and industry regulations.
• Lead firm-wide compliance training programs , ensuring that all employees and stakeholders understand their regulatory obligations.
• Maintain, monitor, and enforce the firm’s Written Supervisory Procedures (WSPs) in accordance with FINRA Rule 3110.

Qualifications

10+ years of experience in broker-dealer compliance, preferably within a firm specializing in capital raising for private funds.

Current FINRA Series 24 (Principal) license required ; Series 7, 63, 79, or other relevant licenses are a plus.

In-depth knowledge of SEC, FINRA, and other regulatory requirements governing limited-purpose broker-dealers and private fund capital raising.

Experience managing FINRA/SEC examinations and regulatory filings .

Strong familiarity with Reg D offerings, private placements, and alternative investments .

Excellent leadership and communication skills, with the ability to work closely with senior executives, legal teams, and regulatory agencies.

Bachelor’s degree required; JD, MBA, or equivalent experience preferred.

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