Founding Compliance Leader (Director - CCO)

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.

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.

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.

• 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 consistent with Crux’s growth and regulatory posture.

• 10+ years of experience in securities compliance, including prior service as a Chief Compliance Officer or senior compliance officer for a broker-dealer and/or RIA. Experience with both broker-dealer and RIA compliance regimes (not one or the other) is a requirement.

• For CCO candidates, active FINRA principal licenses (Series 7, 24, and 63/65 or 66) are required.

• Deep understanding of FINRA, SEC, and state regulatory frameworks.

• Experience designing and managing compliance programs, supervisory systems, and regulatory filings for hybrid financial services businesses.
  Familiarity with AML/KYC compliance and risk-based control frameworks.

• Strong judgment, problem-solving, and communication skills, with the ability to balance regulatory requirements and business goals.

• Experience in clean energy finance, structured products, fintech or private placement markets is a plus.

• Entrepreneurial mindset and ability to work independently in a fast-moving environment.

• $77M raised from top investors like Andreessen Horowitz, Lowercarbon Capital, New System Ventures, Overture, Ardent Venture Partners, QED, Canapi, and others.

• Healthcare: We cover 100% of premiums for employees with a variety of plans on Aetna (nationwide) and Kaiser (WA and California), and subsidize $400/month for dependents (total), if relevant.

• Dental & Vision: We cover 100% of premiums for employees and 50% for dependents (each), if relevant.

• Holidays & PTO: 10 company holidays + 20 days of paid vacation annually.

• 401(k): We support a 401(k), though do not currently offer matching (typical for early-stage startups).

• Team Offsites: Regular all-team offsites 3x/year.

• Compensation: $165,000-$215,000+ base salary based on experience and leveling, 20% bonus target based on company and individual performance, and equity in the form of stock options.
  

• Care for each other
  We support each other—in our growth, in our work, and toward our shared mission. And when we do that, we have fun.

• Build and improve rapidly
  We move quickly. That requires focus, asking whether we’re prioritizing the right things, and executing them as best as possible.

• Focus unremittingly on customers
  Our first obligation is to our customers and partners. We keep their needs front and center in everything we do.

• Demonstrate ownership
  We are all owners of Crux. This is our team, our company, and our product—and we show that to each other every day.

• Convene a team that reflects the breadth of experiences in the country
  We’re building a team with a wide range of backgrounds and a culture where everyone can thrive.

We provide equal employment opportunities to all applicants without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by law.