Senior Compliance Risk Manager – Securities Compliance

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

📋 Description

• Develop, implement, and document the yearly broker-dealer compliance testing program in line with FINRA Rule 3110.

• Prepare the detailed FINRA Rule 3120 report and manage the annual certification process.

• Assist in and document the yearly RIA compliance testing program according to SEC Rule 206(4)-7.

• Conduct testing for new product launches, the Identity Theft Prevention Program, Business Continuity Planning, and other compliance-related areas.

• Act as a primary contact during regulatory examinations, investigations, and audits.

• Oversee data requests and ensure the organization and quality of document submissions.

• Aid in internal investigations and responses to regulatory inquiries.

• Compose, revise, and maintain policies and procedures for broker-dealer and RIA entities.

• Support regulatory reporting and entity maintenance filings, including Forms BD, BR, ADV, and CRS.

• Collaborate with Product, Engineering, Operations, Legal, and other teams regarding regulatory risks, licensing, and compliance needs for new products and services.

⛳️ Requirements

• Over 5 years of experience in compliance, audit, or operational roles within a broker-dealer or RIA.

• Current FINRA Series 7 and Series 24 licenses.

• Knowledge of FINRA Rule 3110, FINRA Rule 2210, SEC Rule 206(4)-7, and the SEC Marketing Rule.

• Exceptional documentation and organizational abilities.

• Capability to present information to senior leadership, the Board of Directors, and regulatory bodies.

• Strong communication skills and a collaborative approach to teamwork.

• Proficient in utilizing and implementing AI tools.

• Ability to handle uncertainty and apply regulatory principles in changing product or operational scenarios.

🏝️ Benefits

• Equity (stock options/RSUs).

• Comprehensive benefits package.

• Reasonable accommodations during the recruitment process for applicants with disabilities or special needs.