Social Designated Principal (Fintech)
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
TL;DR
Social Designated Principal (Fintech): Overseeing the supervisory and compliance framework for ’s Social platform with an accent on regulatory alignment across equities, options, futures, and crypto. Focus on building and managing supervisory procedures, evaluating automated risk controls, and partnering with Legal and Product teams to ensure integrity in retail financial communications.
Location: Must be based in or able to commute to Chicago, IL; Denver, CO; Lake Mary, FL; or New York, NY offices, with 3 days/week in-person attendance required.
Salary: $110,000 – $165,000 USD (based on compensation zone).
Company
is a technology-driven financial services platform on a mission to democratize finance for all.
What you will do
- Create and maintain supervisory procedures for RHF and RHS entities.
- Review content moderation escalation cases and resolution processes for regulatory compliance.
- Manage blocklists for restricted terms, tickers, and assets; monitor user restrictions.
- Partner with Legal, Compliance, and Product to assess regulatory impact of new features.
- Define requirements for machine learning models used in content and trading risk identification.
- Provide backup coverage for the Marketing Designated Principal.
Requirements
- FINRA Series 7 and 24 licenses required.
- Active Series 4 license (Options Principal) required or ability to obtain.
- 5+ years of financial services experience with supervisory or compliance responsibilities.
- Experience evaluating digital content and trading activity across equities, options, and crypto.
- Strong understanding of consumer protection and retail brokerage securities regulations.
- Must work in-person 3 days per week in designated office locations.
Culture & Benefits
- Comprehensive health insurance (100% employer-paid for employees).
- Performance-based compensation with equity ownership and 401(k) matching.
- Flexible lifestyle wallet for wellness and learning expenses.
- Generous time-off policy including company holidays and parental leave.
- Supportive in-person office experience with catered meals and collaborative workspaces.
Будьте осторожны: если работодатель просит войти в их систему, используя iCloud/Google, прислать код/пароль, запустить код/ПО, не делайте этого - это мошенники. Обязательно жмите "Пожаловаться" или пишите в поддержку. Подробнее в гайде →