Principal Associate, Compliance

This is a fully remote position, open to applicants in United States.

📋 Description

• Assist in implementing compliance and risk assessment initiatives for Broker Dealers, encompassing compliance, testing, monitoring, surveillance, and adherence to regulations.

• Supervise, address, and resolve daily flags related to KYC, CIP, suitability, PEP, and sanctions.

• Identify enhancements to policies and procedures and evaluate the effectiveness of controls.

• Update and manage written supervisory procedures, surveillance programs, testing protocols, and employee training programs.

• Oversee and challenge reporting, escalation, and prompt remediation of compliance risk issues and regulatory concerns.

• Handle complaints and conduct monthly, quarterly, and ongoing reporting.

• Prepare and coordinate the Annual CEO Certification report in accordance with FINRA Rule 3130 and other yearly requirements.

• Evaluate external regulatory activities and changes that may impact Marketing.

• Review marketing, sales materials, and communications, including social media content.

• Manage compliance assessments of electronic communications surveillance and the retention of necessary written communications.

• Collaborate with HR and business units on new-hire onboarding processes, questionnaires, attestations, U-4 forms, fingerprinting, disclosures, OBAs, PAD, and training for onboarding.

• Improve the compliance program in response to regulatory and business developments.

• Engage in responses to regulatory examinations, audits, and inquiries.

⛳️ Requirements

• Possession of Series 7 and 24 licenses, with a capability to quickly obtain additional certifications.

• At least 5 years of demonstrable experience in a retail fintech Broker Dealer compliance department and interaction with regulators.

• Deep understanding of relevant laws, regulations, and requirements, including industry standards.

• Prior experience in establishing a Broker Dealer compliance program.

• Capacity to think critically and strategically.

• Strong problem-solving skills and quick-thinking capabilities.

• Proficiency in negotiation and collaboration, adaptability to change, ability to make tough decisions, and readiness to accept challenging tasks.

• Ability to work autonomously and manage multiple complex projects simultaneously.

🏝️ Benefits

• Bonus program

• Equity program

• Wellness allowance

• Medical insurance

• Dental insurance

• Vision insurance

• 401(k)

• Global and diverse work environment