Chief Compliance Officer and General Counsel
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Open menuAboutWhat Happens at YC?ApplyYC Interview GuideFAQPeopleYC BlogCompaniesStartup DirectoryFounder DirectoryLaunch YCLibraryPartnersResourcesStartup SchoolNewsletterRequests for StartupsFor InvestorsVerify FoundersHacker NewsBookfaceSAFEFind a Co-FounderEventsStartup JobsLog inApplyAquaThe AI-Native Turnkey Alternative Investment Platform (TAIP)Chief Compliance Officer and General Counsel$90K - $170K•New York, NY, USJob typeFull-timeRoleLegalExperience6+ yearsVisaUS citizen/visa onlyConnect directly with founders of the best YC-funded startups.Apply to role ›Rohan MarwahaFounderRohan MarwahaFounderAbout the roleAbout Aqua Aqua is the operating system for wealth channel alternatives. We are building the platform for independent broker-dealers (IBDs) and independent financial advisors (RIAs) to invest in alternative assets. We are on track to process $5B in new transactions for 2025, with customer logos including some of the largest RIAs/BDs in the nation and asset managers including Blackstone, Apollo, JLL, Blue Owl, etc. We’ve raised $18.8M from investors including YC, Google, and Arthur Ventures.
About the Role We are seeking a driven Chief Compliance Officer and General Counsel to lead compliance for our broker-dealer and to act as General Counsel for the firm. Our platform enables firms to centralize data, streamline operations, and enhance visibility across all alternative asset investments. This role will own the compliance function and interface with registered representatives. Success in this role requires a mix of deep legal/compliance knowledge, great interpersonal skills, and comfort operating in a highly-regulated industry.
What You’ll Do Compliance Oversight: Own the compliance function including onboarding registered reps, interfacing with FINRA, leading annual audits, and managing ongoing compliance requirements. Contracts and Agreements Preparation: Prepare agreements including engagement letters, fee-share agreements, SaaS contracts, etc; Conduct due diligence on new registered representatives Internal Collaboration: Partner closely with executive leadership and broker-dealer leadership to ensure compliance of the highest standard and a great client/registered representative experience.
Who You Are 5–8+ years of CCO experience from the regulated financial services world. Strong understanding of BD workflows—compliance, operations, advisor distribution, and investment data. Exceptional communication and relationship-building skills. Must have a J.D. Must have a Series 7, 63, 24, and 14 About AquaAqua is the operating system for wealth channel alternatives. We are building the platform for independent broker-dealers (IBDs) and independent financial advisors (RIAs) to invest in alternative assets. We are on track to process $5B in new transactions for 2025, with customer logos including some of the largest RIAs/BDs in the nation and asset managers including Blackstone, Apollo, JLL, Blue Owl, etc. AquaFounded:2021Batch:S21
Team Size:23Status:ActiveLocation:New York City, NY FoundersRohan Marwaha FounderRohan Marwaha FounderDev Patel FounderDev Patel FounderFooterY CombinatorMake something people want.ProgramsYC ProgramStartup SchoolWork at a StartupCo-Founder MatchingResourcesStartup DirectoryStartup LibraryInvestorsDemo DaySAFEHacker NewsLaunch YCYC DealsCompanyYC BlogContactPressPeopleCareersPrivacy PolicyNotice at CollectionSecurityTerms of UseTwitterTwitterFacebookFacebookInstagramInstagramLinkedInLinkedInYoutubeYouTube© 2026 Y Combinator!function(t,e){var o,n,p,r;e.__SV||(window.posthog=e,e._i=[],e.init=function(i,s,a){function g(t,e){var o=e.split(".");2==o.length&&(t=t[o[0]],e=o[1]),t[e]=function(){t.push([e].concat(Array.prototype.slice.call(arguments,0)))}}(p=t.createElement("script")).type="text/javascript",p.async=!0,p.src=s.api_host+"/static/array.js",(r=t.getElementsByTagName("script")[0]).parentNode.insertBefore(p,r);var u=e;for(void 0!==a?u=e[a]=[]:a="posthog",u.people=u.people||[],u.toString=function(t){var e="posthog";return"posthog"!==a&&(e+="."+a),t||(e+=" (stub)"),e},u.people.toString=function(){return u.toString(1)+".people (stub)"},o="capture identify alias people.set people.set_once set_config register register_once unregister opt_out_capturing has_opted_out_capturing opt_in_capturing reset isFeatureEnabled onFeatureFlags startSessionRecording stopSessionRecording".split(" "),n=0;n