Founding Compliance Leader (Director - CCO)

Founding Compliance Leader (Director - CCO) WE’RE FINANCING THE FUTURE OF ENERGY Crux is the capital platform for the clean economy. We modernize capital raising and deployment for clean energy and critical infrastructure with solutions across advisory, investments, technology, and intelligence. Our team of 95+ is composed of experts in energy, tax, finance, government, and technology. We have raised $77 million in capital from some of the best investors, including Andreessen Horowitz, Lowercarbon Capital, New System Ventures, Overture, Ardent Venture Partners, QED, Canapi, and others. These funds are joined by strategic investors including Pattern Energy, Clearway Energy, EDF Renewables, Intersect Power, LS Power, Orsted, Hartree Partners, Liberty Mutual Strategic Ventures, MassMutual Ventures, and OMERS Ventures. AN INFLECTION POINT IN AMERICAN ENERGY AND MANUFACTURING Energy demand is growing for the first time in decades, driving an urgent need for more affordable and reliable electricity. More electricity requires new clean energy infrastructure and strong domestic supply chains for minerals and components — as well as large amounts of capital. Traditional project financing is opaque, fragmented, and analog. At Crux, we’re changing that. Through unmatched insights and expertise, white-glove service, purpose-built tools, and risk underwriting, we power a more prosperous, clean, and secure energy future. We are scaling quickly and looking for team members who are eager to combine deep expertise with an AI- and tech-forward mindset. THE OPPORTUNITY Crux is seeking an experienced compliance professional to build and oversee the company’s compliance program across its broker-dealer, registered investment adviser, and corporate operations. The position may be filled at the Chief Compliance Officer level or the Director, Compliance level, depending on qualifications and regulatory licensing. - Candidates with the relevant FINRA principal licenses and qualifications to serve as the Chief Compliance Officer and second principal of the broker-dealer will be given preference. - Candidates without the requisite licenses may join as Director, Compliance, and partner with an outsourced Chief Compliance Officer while pursuing additional FINRA qualifications. This is a rare opportunity to shape the compliance function at a rapidly growing capital markets platform at the intersection of finance, technology, and clean energy. WHAT YOU’LL DO - Serve as the primary compliance professional for Crux’s broker-dealer and RIA subsidiaries, ensuring compliance with FINRA, SEC, and state securities laws. - Develop and maintain compliance policies, procedures, and supervisory systems aligned with FINRA, SEC, and other applicable standards. - Oversee supervisory controls, annual reviews, testing, and risk assessments. - Manage all regulatory examinations, audits, and filings, including Form ADV, Form BD, FINRA membership continuing requirements, and related reports. - Serve as a key liaison with regulators, external counsel, auditors, and internal teams on all compliance-related matters. - Ensure appropriate registration, training, and oversight of associated persons and registered representatives. - Monitor marketing, communications, and financial promotions for regulatory compliance and alignment with firm policies. - Implement and maintain books and records, trading oversight, and surveillance programs tailored to Crux’s products and platform. - Oversee select corporate compliance functions, including AML/KYC, OFAC/sanctions screening, and anti-bribery/anti-corruption policies. Advise on emerging compliance risks across the broader Crux enterprise, including data governance, conflicts of interest, and information barriers. - Support implementation of compliance technology and reporting systems for centralized oversight. - Collaborate with Legal, Finance, and Operations to maintain a robust, scalable compliance framework con ... (truncated, view full listing at source)