Sr. Compliance Associate - Equities

Broker dealer and investment advisor experience required. Series 7 and 24 required and ability to obtain others quickly. Minimum of 5 years of proven experience in a retail fintech Broker Dealer compliance department. Experience working with regulators. Comprehensive understanding of applicable laws, regulations and requirements, including industry practices. Previous experience implementing Broker Dealer compliance program required. Ability to think intuitively and strategically. Problem solver and quick thinker. Ability to negotiate and collaborate with others, adapt to change, make difficult decisions, and accept challenging assignments. Ability to work independently and manage multiple complex projects simultaneously.

Oversee a retail fully-disclosed equities/ ETF and option platform and robo-advisor. Support the CCO to ensure the broker dealer stays in compliance with FINRA, SEC and state regulations. Assist in the execution of the Broker Dealer compliance and risk assessment programs. Oversee, address, and remediate daily flags in KYC, CIP, Suitability, PEP, Sanctions. Identify policy and procedural enhancements and maintain awareness of regulatory developments. Oversee and update written supervisory procedures, surveillance program, testing programs, and employee education programs. Monitor and challenge the reporting, escalation, and timely remediation of compliance risk management issues. Handle complaints and manage monthly, quarterly, and ongoing reporting. Prepare and coordinate the Annual CEO Certification report. Assess external regulatory activity and changes in laws and regulations impacting Marketing. Oversee the review of all marketing and sales material and communications. Administer and manage compliance reviews of electronic communications surveillance. Support HR and business departments by onboarding new hires and obtaining questionnaires and attestations. Perform required functions such as U-4, fingerprinting, disclosures, OBAs, PAD, onboarding training. Support compliance program enhancements in response to evolving regulatory requirements and business changes. Participate in firm responses to regulatory examinations, audits, and inquiries.