Principal Associate, Compliance

Job Description:

  • Assist in executing Broker Dealer compliance and risk assessment programs, including compliance, testing, monitoring, surveillance, and regulatory adherence
  • Oversee, address, and remediate daily KYC, CIP, suitability, PEP, and sanctions flags
  • Identify policy and procedural enhancements and test control effectiveness
  • Oversee and update written supervisory procedures, surveillance programs, testing programs, and employee education programs
  • Monitor and challenge reporting, escalation, and timely remediation of compliance risk issues and regulatory matters
  • Handle complaints and monthly, quarterly, and ongoing reporting
  • Prepare and coordinate the Annual CEO Certification report under FINRA Rule 3130 and other annual requirements
  • Assess external regulatory activity and changes affecting Marketing
  • Review marketing and sales materials and communications, including social content
  • Manage compliance reviews of electronic communications surveillance and retention of required written communications
  • Support HR and business departments with new-hire onboarding, questionnaires, attestations, U-4, fingerprinting, disclosures, OBAs, PAD, and onboarding training
  • Enhance the compliance program in response to regulatory and business changes
  • Participate in responses to regulatory examinations, audits, and inquiries

Requirements:

  • Series 7 and 24 qualifications and ability to obtain others quickly
  • Minimum of 5 years proven experience in a retail fintech Broker Dealer compliance department and working with regulators
  • Comprehensive understanding of applicable laws, regulations and requirements, including industry practices
  • Previous experience implementing a Broker Dealer compliance program
  • Ability to think intuitively and strategically
  • Problem-solving and quick-thinking ability
  • Ability to negotiate and collaborate with others, adapt to change, make difficult decisions, and accept challenging assignments
  • Ability to work independently and manage multiple complex projects simultaneously

Benefits:

  • Bonus program
  • Equity program
  • Wellness allowance
  • Medical insurance
  • Dental insurance
  • Vision insurance
  • 401(k)
  • Global and diverse work environment
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