What You’ll Do:

📍Serve as the Chief Compliance Officer and Anti-Money Laundering 📍Officer of the Broker-Dealer, reporting to the Chief Administrative Officer of Public Holdings 📍Independently manage FINRA relationship, including all examinations and regulatory requests 📍Partner with the CAO, GC, COO, and others to identify key risks and mitigating actions 📍Support business teams (e.g., product, marketing, operations) with input on regulatory compliance considerations and implications of their work. 📍Participate in the Best Execution and Order Routing Committee 📍Maintain the Written Supervisory Procedures and Compliance Manual (WSP) 📍Oversee the creation of desk / internal control procedures for Compliance and other departments 📍Leverage technology and third-party solutions to streamline compliance processes; evaluate existing providers to identify alternatives as needed 📍Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures 📍Conduct the Annual Supervisory Review and Testing, and corresponding CEO certification under FINRA Rules 3120 and 3130. 📍Ensure the annual, quarterly, and ad hoc FINRA reporting, and submission requirements are met for the broker dealer 📍Conduct and/or oversee periodic surveillance reviews for the following areas, among others: trading surveillance, trade reporting, review and approval of marketing / advertising / social media materials, and review / approval of activities involving FINRA licensed and NRF personnel 📍Partner with other departments to manage the retention of regulatory books and records pursuant to regulatory and business requirements 📍Oversee completion of training, as required (e.g., Annual Compliance Meeting, Firm Element, Regulatory Element, etc.)

Who you are:

📍Talented problem solver and risk manager, capable of understanding and internalizing business priorities and risk calibration. 📍Ability to continually learn new skills, embracing change in the securities industry, and working for a rapidly growing FinTech firm 📍Experience directly interacting and building relationships with regulators 📍7+ years of relevant compliance experience working for a FINRA regulated firm. 📍Licenses required: Series 7 and 24. 📍Extensive knowledge of FINRA and SEC rules and applicability of the rules to employee and firm activities 📍Knowledge and in-depth familiarity with trading, market making, customer suitability and/or related areas is important 📍Experience with the FINRA Form BD, Form BR, FINRA Contact System, and related filings
📍Experience monitoring and evaluating employee activities - e.g., outside account monitoring, OBAs, PSTs, electronic communications retention and surveillance, new hire onboarding, off-boarding, and other requirements to which a broker-dealer is subject