Los Angeles, CA, USA
about 1 year ago
About the Firm:
They offer financial products to let people save, spend, and invest their money in ways that align with their personal values. They are committed to building a relationships with our customers based on trust and aligning the customer’s success with our own.
We’re looking for a dedicated and motivated compliance manager to help us ensure that the company is abiding by top management directives, regulatory guidelines, and relevant legal/human resource policies when performing any task or responsibility. You will work closely with the Chief Compliance Officer to create and implement industry best practices and compliant, professional standards in all activities in which employees engage.
What You'll Do:
- Assume key role in ensuring compliance with SEC, FINRA and other applicable financial regulations
- Become an important part of an existing professional compliance team to integrate new strategies/products, firm initiatives, and regulatory changes into compliance framework
- Assist in maintaining policies/procedures/regulatory risk-matrix/compliance calendar
- Assist with regulatory reporting efforts
- Stay current on relevant FINRA and SEC developments, as well as industry best practices
- Work with finance and legal teams to gain compliance approval
- Review external content created by marketing teams
- Perform compliance reviews and fieldwork of all programs including deposit procedures and relevant annual reports
- Perform compliance reviews of internal employee communications, customer complaints, other employee surveillance matters, and provide reports for the same
- Evaluate and iterate on current policies and procedures to ensure effectiveness, accuracy, and compliance with federal regulations
- Assist in providing and organizing new hire and continued education for all staff
- Attend monthly Management Compliance Meetings to address, diffuse, and resolve top priority and urgent compliance matters
- Assist in preparing and executing materials for successful completion of regulatory exams
What You'll Bring:
- Bachelor’s degree required
- 1-3 years of applicable compliance experience in the financial services or financial tech industry
- Requires FINRA Series 7 and either 63 or 66 licenses and willingness to complete FINRA Series 24 license within first six months.
- Genuine interest in developing your skillset and growing your career in the compliance space
- Knowledge and understanding of SEC, FINRA rules/regulations, particularly with respect to the review of marketing materials.
- Ability to effectively multi-task, manage deadlines, and demonstrate a willingness to learn
- Must be detail-oriented with strong research and analytical skills
What You'll Get:
- Work for a mission-driven company with the goal of transforming the lives of millions by building a better financial firm.
- Comprehensive medical, vision, and dental benefits
- Flexible working hours and vacation time
- Opportunity for company equity