Compliance Manager - Invest

Summary

Join OnePay, a consumer financial services app, and help us achieve our mission of assisting people in making financial progress. We offer a comprehensive suite of financial products, including checking and savings accounts, peer-to-peer payments, credit building tools, and buy-now-pay-later options. As a Compliance Manager, you will play a crucial role in ensuring our adherence to regulatory requirements. This position requires a strong understanding of FINRA and SEC regulations and involves policy development, regulatory oversight, risk management, training, and reporting. We offer a competitive salary and benefits package, including stock options, health benefits, 401k matching, flexible time off, 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 and 24 licenses
• 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 base salary, stock options, and health benefits from Day 1
• 401(k) plan with company match
• Remote-friendly (US), flexible time off (FTO), and opportunities for growth