Founding Compliance Leader (Director - CCO)

We’re supercharging the clean economy

Crux is the capital markets platform changing the way clean energy and manufacturing projects are financed in the U.S. Crux’s platform, market intelligence, and expert team help developers and manufacturers unlock financing through all stages of project development and operation.

Our team of 65+ 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 20 years, driven by surging manufacturing, transportation, electrification, and data centers. Simultaneously, hundreds of billions of dollars are being invested in domestic supply chains for critical minerals and components. Developers and manufacturers will require trillions of dollars in capital to meet growing needs.

Prior to Crux, the capital markets supporting this transformation remain opaque, fragmented, and complex. At Crux, we recognized the missing infrastructure: a central capital markets platform designed specifically for the next century of American energy and industry. By connecting counterparties, providing market intelligence, and streamlining transactions, we unlock faster decision making, lower cost of capital, and accelerated investment.

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 consistent with Crux’s growth and regulatory posture.

What you bring

• 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.

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