San Francisco, CA
6 months ago
We are partnered with a fast-growing international Fintech client who is looking for a Director of Compliance to lead their broker-dealer clearing operations. This person will will oversee regulatory adherence and be the point of contact for certain regulatory exams and inquiries.This is an exciting opportunity to join one of the most innovative fintechs in the industry.
- Lead and manage required compliance functions, including
- Regulatory filings and updates to filings
- Periodic regulatory filings and FINRA reports
- Onboarding new Associated Persons
- Periodic compliance testing
- Branch Inspections
- Firm element / CE
- Required meetings (i.e. Annual Compliance Meeting)
- Compliance, anti-fraud, and AML training
- Books and Records monitoring
- Manage the Firm’s compliance enforcement program for retail communications, email, websites, social media, and internal communications
- Manage regulatory responses with the support of a Compliance Analyst.
- Provide Compliance support for
- Global onboarding of partners, businesses, and individuals.
- 314a AML review and reporting
- Monitoring for fraud prevention
- Investigations that result from suspected suspicious activity
- Issue tracking as well as root cause analysis
- Vendor due diligence processes
- Maintenance and updating of desk procedures and AML procedures
- Primary owner of Compliance Written Supervisory Procedures, including monitoring for new or amended rules and making edits as necessary.
- Series 7, Series 24, and a 63 & 65 or a Series 66 required. Additional qualifications a plus.
- Minimum of 4 years of experience in Supervision or Compliance required.
- Bachelor's degree or equivalent experience.
- Must be authorized to work in the United States
Selecting the “Apply” button below or by contacting me directly.
As a Fintech Compliance & Legal market specialist, I am partnered with a myriad of large and small Fintech Companies across the country. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:
Allison Hill, firstname.lastname@example.org or (619) 268—5395