Head of Compliance

This is a fully remote position, open to applicants in California, +2 more states.

📋 Description

• Offer compliance advisory services and support to the broker-dealer business while overseeing the establishment of the broker-dealer compliance program.

• Manage the FCM compliance program, which includes the firm's risk management framework and the annual CCO report.

• Oversee daily computations for customer segregation along with related financial and regulatory filings for both the broker-dealer and FCM.

• Supervise trade and market surveillance for the firm's securities and derivatives offerings.

• Act as the primary liaison for examinations and inquiries from FINRA, NFA, SEC, and CFTC.

• Maintain the firm's Anti-Money Laundering (AML) program that encompasses activities from both broker-dealer and FCM operations.

• Draft, update, and enforce Written Supervisory Procedures and other internal policies and protocols.

• Collaborate across departments with technology, product, and legal teams regarding trading system operations to ensure adherence to regulatory standards and expectations.

• Provide guidance on fundamental compliance issues such as registrations, employee trading, outside business activities, and continuing education obligations.

• Review and authorize advertising, marketing, and sales collateral.

⛳️ Requirements

• Bachelor's degree (BA/BS).

• Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or the capability to obtain within 120 days of hire).

• Over 10 years of experience in securities and/or commodities regulatory compliance.

• Extensive knowledge of broker-dealer and/or FCM operations along with the relevant regulatory frameworks.

• Strong comprehension of compliance requirements from FINRA, SEC, CFTC, and NFA.

• Comfortable operating in a technology-driven environment.

• Exceptional writing skills, including the ability to distill and evaluate large volumes of information into concise responses.

• Authorized to work in the United States and fluent in English.

🏝️ Benefits

• Competitive starting salary.

• An annual discretionary bonus.

• Long-term incentives in the form of a new hire equity grant.

• Comprehensive healthcare plans.

• 401K plan with company matching.

• Paid parental leave.

• Flexible time off.