Compliance Manager - FTC - Remote

Overview

An experienced Compliance Specialist is needed to oversee the USA Compliance function for a global leading social investment platform during a maternity leave cover.

In Short

• Oversee key compliance functions including testing, governance, and reporting.
• Drive compliance initiatives and projects.
• Support the Chief Compliance Officer in executing the Compliance Governance Program.
• Manage regulatory reporting and complaint resolution processes.
• Conduct due diligence on compliance vendors.
• Prepare responses to regulatory inquiries and audits.
• Identify compliance gaps and recommend improvements.
• Collaborate with teams to enhance regulatory adherence.

Requirements

• Bachelor’s degree required; advanced degree preferred.
• FINRA Series 7 and 24 licenses required; Series 4 preferred.
• 5+ years of experience in compliance with broker-dealer regulations.
• Strong analytical and problem-solving skills.
• High attention to detail and accuracy.
• Excellent communication skills.
• Experience in compliance monitoring and risk assessments.
• Demonstrated integrity and professionalism.

Benefits

• Salary range of $110,000 - 145,000 per annum.
• Comprehensive benefits package.
• Cell phone stipend and daily lunch allowance.
• Gym stipend and 6% 401K match.
• 100% insurance coverage for the employee.
• Additional leave/recharge days.
• eToro trading credits.