Compliance Communications Team Lead (Fintech)

TL;DR

Compliance Communications Team Lead (Fintech): Leading the review and approval of retail communications to ensure adherence to SEC and FINRA regulations with an accent on strategic regulatory guidance and process scalability. Focus on managing stakeholder alignment across Marketing and Product teams and executing Principal Reviews of public-facing materials.

Location: Must be based in New York, NY, Chicago, IL, Denver, CO, or Lake Mary, FL (Hybrid: in-person attendance expected at least 3 days per week)

Salary: $110,000 - $165,000 USD (depending on location zone)

Company

A fintech company on a mission to democratize finance for all by applying frontier technologies to complex financial problems.

What you will do

• Provide expert guidance and serve as an escalation point for stakeholders on complex compliance interpretations.
• Perform Principal Reviews (approvals) of communications with the public (CwP) to ensure regulatory and internal standards.
• Develop program efficiencies and lead process enhancements to increase team quality and scalability.
• Build strong relationships and lead compliance strategy among Marketing, Social, and Product stakeholders.
• Guide internal customers on compliance requirements for various projects and deliverables.

Requirements

• Bachelor’s Degree.
• FINRA Series 7 and 24 certifications (willingness to acquire Series 4 within 120 days of start).
• 7+ years of experience in compliance or a relevant function with a proven track record of leading projects.
• General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication.
• Strong written and verbal communication, strategic negotiation skills, and high attention to detail.

Culture & Benefits

• Performance-driven compensation including bonus programs, equity ownership, and 401(k) matching.
• Comprehensive health benefits: 100% paid health insurance for employees and 90% for dependents.
• Flexible lifestyle wallet for wellness and continuous learning.
• Employer-paid life and disability insurance, fertility benefits, and mental health support.
• Generous time off including company holidays, sick time, and parental leave.
• Premium office experience with catered meals and community events.