Job Description
Benefits Offered:
Competitive medical, dental, and vision insurance options
Mental health and family planning services
Unlimited paid time off with ten observed holidays
16 weeks of paid parental leave for biological and adoptive parents
Pre-tax commuter benefits
Annual investment of $2,500 in continued education and personal development
$75 monthly fitness and wellness reimbursement
Company-provided phone
Engaging office space in the Financial District with a daily lunch stipend and unlimited snacks
Compensation:
$250,000 to $300,000 per year, based on experience and qualifications.
About Us:
Join a dynamic and innovative B2B financial technology organization committed to democratizing access to financial independence worldwide. Our mission is to empower partners through a modern, API-based platform that enables seamless investing and trading experiences for clients globally, all accessible from mobile devices. We blend the agility of a tech start-up with the stability and impact of a major financial institution, fostering creativity and collaboration while ensuring robust regulatory compliance and execution.
We celebrate diversity and inclusion, valuing the unique perspectives of our employees as we grow together. Guided by principles of accountability, teamwork, and integrity, we are seeking enthusiastic professionals to enhance our Brokerage-as-a-Service platform.
About The Role:
As the Chief Compliance Officer, you will lead and manage our broker-dealer compliance team. Your expertise will help shape and implement effective compliance programs, ensuring adherence to regulatory standards in a fast-paced environment. You will be instrumental in guiding cross-functional teams and monitoring regulatory changes to maintain compliance with FINRA, SEC, and other applicable laws and regulations.
What You'll Do:
Establish and maintain effective standards and procedures to identify, prevent, detect, and remediate regulatory issues.
Oversee compliance program functions, including the implementation of supervisory procedures, transaction monitoring, AML compliance, training, and annual testing.
Manage regulatory interactions, prepare submissions, and coordinate responses to inquiries from regulatory authorities.
Monitor compliance issues and regulatory changes, reporting their impact to stakeholders.
Lead a team responsible for registrations, coordinating broker-dealer audits, inspections, and reviews.
Manage all aspects of the Firm's AML compliance program in line with FINRA Rule 3310.
Handle additional projects as needed in a rapidly changing regulatory environment.
What You'll Need:
Bachelor's degree and Series 7 and 24 licenses (Series 4 is optional).
At least 10 years of experience in a senior compliance role within a financial services firm, ideally supporting an electronic broker-dealer.
Strong understanding of regulatory rules and best practices, particularly from FINRA and SEC.
Familiarity with equities, options, fixed income, and mutual funds, along with relevant regulations regarding order routing and execution services.
Ability to read, interpret, and implement regulatory changes related to broker-dealer compliance.
Strong project management, organizational, and communication skills, with the ability to work independently and manage multiple projects effectively.
A track record of promoting a positive corporate culture and ethical standards.
Nice to Have (But Not Required):
Experience in trading and back-office operations.
Application Information:
We encourage all qualified candidates to apply. Please note that applicants must be authorized to work for any employer in the U.S. Sponsorship for an employment visa is not available at this time.
We are proud to be an equal opportunity employer, valuing diversity and inclusion in our workplace. We do not discriminate based on race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability. We are committed to providing reasonable accommodations for individuals with disabilities throughout the application and interview process. Please contact us if you require any accommodations.
Agency Notice:
Please, no phone calls or emails to any employees outside of the Talent organization. Resumes from agencies will only be accepted via our applicant tracking system (ATS). Agencies must have a valid services agreement in place and be assigned by the Talent team to a specific requisition. Any resumes submitted outside of this process will be considered the sole property of the organization, and no fees will be paid for candidates submitted outside of this policy.
Employment Type: Full-Time
Salary: $ 250,000.00 300,000.00 Per Year
Job Tags
Holiday work, Full time, Worldwide, Work visa,