Principal Associate Compliance

• Assist in the execution of the Broker Dealer compliance and risk assessment programs. Compliance, testing, monitoring, surveillance and adherence to all other relevant and applicable laws and regulations.

• Overseeing, addressing and remediating daily flags in KYC, CIP, Suitability, PEP, Sanctions while assisting in identifying policy and procedural enhancements and maintaining awareness of company goals, regulatory developments and industry trends while testing the effectiveness of controls.

• Oversee and update the written supervisory procedures, surveillance program, testing programs, and the employee education programs including reviewing and addressing concerns from compliance testing results.

• Monitor and challenge the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management. Complaint handling and monthly, quarterly and other ongoing reporting/ handling.

• Prepare and coordinate with department leadership in creating the Annual CEO Certification report as specified in FINRA Rule 3130 as well other annual requirements.

• Assists with assessment of external regulatory activity and changes in laws and regulations impacting Marketing.

• Oversee the review of all marketing and sales material and communications (including social content). Administer and manage the compliance reviews of the electronic communications surveillance process to ensure the vendor platform is being used in an effective and efficient way as needed. Further ensuring all required written communications are being retained, from all sources used by the firm.

• Support HR and other business departments by onboarding new hires and ensuring that questionnaires and attestations are obtained in a reasonable time frame. Performing required functions such as U-4, fingerprinting, disclosures, OBAs, PAD, onboarding training, etc.

• Support compliance program enhancements in response to evolving regulatory requirements and business changes. Participating in firm responses to regulatory examinations, audits and inquiries.

• Series 7 and 24 qualifications and the ability to obtain others quickly.

• Minimum of 5 years proven experience in a retail fintech Broker Dealer compliance department and working with regulators.

• Comprehensive understanding of applicable laws, regulations and requirements, including industry practices.

• Previous experience implementing a Broker Dealer compliance program.

• 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.

Unless a specific application deadline is stated in the job posting, applications are accepted on an ongoing basis. Please note, applicants are permitted to redact or remove information on their resume that identifies age, date of birth, or dates of attendance at or graduation from an educational institution. We consider qualified applicants with criminal histories for employment on our team, assessing candidates in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance.