Compliance Manager

Summary

Join One, a fintech company backed by Ribbit and Walmart, as a Compliance Manager. This dynamic role involves developing, implementing, and managing compliance programs, policies, and procedures for a FINRA-registered broker-dealer. You will oversee supervisory functions, collaborate with regulators, and ensure compliance with FINRA, SEC, and other regulations. The ideal candidate possesses a strong understanding of compliance regulations and experience in a similar role. This position offers a competitive salary, benefits starting on day one, and a remote-friendly work environment.

Requirements

• Bachelor’s degree in finance, business, law, or a related field
• Minimum of 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 within a specified timeframe)
• Strong knowledge of FINRA and SEC rules and regulations
• Demonstrated ability to build and manage compliance policies, procedures, and programs
• Excellent communication skills, with the ability to interact effectively with regulators and internal stakeholders

Responsibilities

• Design, implement, and update compliance policies and procedures to ensure alignment with regulatory requirements
• Maintain an effective compliance program tailored to the firm's size, scope, and activities
• Serve as a point of contact for FINRA, SEC, and other regulatory bodies
• Prepare for and manage regulatory examinations, audits, and inquiries
• Maintain up-to-date knowledge of applicable laws, rules, and regulations and advise senior management of key developments
• Perform and oversee supervisory reviews, including trade surveillance, electronic communications monitoring, and other supervisory functions
• Identify potential compliance risks and develop strategies to mitigate them
• Conduct internal audits and compliance testing to assess the firm’s adherence to policies and regulations
• Develop and deliver compliance training programs to staff at all levels
• Partner with internal stakeholders, including legal, operations, and business units, to provide compliance guidance and ensure effective communication
• Advise senior management on compliance issues and participate in strategic decision-making
• Maintain accurate records of compliance activities, including policies, supervisory procedures, and audit findings
• Prepare compliance reports for senior management and the board of directors
• File regulatory reports and disclosures in a timely and accurate manner

Preferred Qualifications

• Experience with risk management and supervisory processes
• Proven ability to work in a fast-paced, startup environment

Benefits

• Competitive cash
• Benefits effective on day one
• Early access to a high potential, high growth fintech
• Generous stock option packages in an early-stage startup
• Remote friendly (anywhere in the US) and office friendly - you pick the schedule
• Flexible time off programs - vacation, sick, paid parental leave, and paid caregiver leave
• 401(k) plan with match