Compliance Manager - Invest - Remote

Overview

We are seeking a proactive and experienced Compliance Manager to join our growing team at a new FINRA-registered broker-dealer. This is a dynamic role requiring a hands-on professional with the ability to develop, implement, and manage compliance programs, policies, and procedures.

In Short

• Design, implement, and update compliance policies and procedures.
• Serve as a point of contact for FINRA, SEC, and other regulatory bodies.
• Perform and oversee supervisory reviews and trade surveillance.
• Develop and deliver compliance training programs to staff.
• Maintain accurate records of compliance activities.
• Identify potential compliance risks and develop mitigation strategies.
• Prepare compliance reports for senior management.
• Advise senior management on compliance issues.
• Collaborate with internal stakeholders for effective communication.
• Conduct internal audits and compliance testing.

Requirements

• Bachelor’s degree in finance, business, law, or a related field.
• 5-7 years of compliance experience in a broker-dealer or financial services environment.
• FINRA Series 7, 24, or 27 licenses (or willingness to obtain).
• Strong knowledge of FINRA and SEC rules and regulations.
• Excellent communication skills.
• Experience with risk management and supervisory processes (preferred).
• Proven ability to work in a fast-paced, startup environment (preferred).

Benefits

• Competitive base salary, stock options, and health benefits from Day 1.
• 401(k) plan with company match.
• Remote-friendly (US), flexible time off (FTO).
• A high-growth, mission-driven, inclusive culture.