Compliance Manager - Remote

Overview

One’s mission is simple - to help customers achieve financial progress. We’re doing this by creating simple solutions to help our customers save, spend, borrow, and grow their money – all in one place.

In Short

• Seeking a proactive and experienced Compliance Manager.
• Develop, implement, and manage compliance programs.
• Oversee supervisory functions and collaborate with regulators.
• Maintain compliance with FINRA, SEC, and other regulations.
• Design and update compliance policies and procedures.
• Conduct internal audits and compliance testing.
• Develop and deliver compliance training programs.
• Prepare compliance reports for management and the board.
• Identify compliance risks and develop mitigation strategies.
• Work in a fast-paced, startup environment.

Requirements

• Bachelor’s degree in finance, business, law, or related field.
• 5-7 years of compliance experience in financial services.
• FINRA Series 7, 24, or 27 licenses (or willingness to obtain).
• Strong knowledge of FINRA and SEC rules.
• Excellent communication skills.
• Experience with risk management preferred.

Benefits

• Competitive cash compensation.
• Benefits effective on day one.
• Generous stock option packages.
• Remote friendly and flexible time off programs.
• 401(k) plan with match.