Brokerage Compliance Operations Associate (Fintech)

TL;DR

Brokerage Compliance Operations Associate (Fintech): Managing registration and onboarding processes for FINRA Member entities with an accent on regulatory filings and documentation compliance. Focus on optimizing registration workflows, ensuring SEC Rule 17a-3 adherence, and integrating AI to increase operational impact.

Location: Must be based in Denver, CO, Westlake, TX, or Lake Mary, FL; in-person attendance expected at least 3 days per week.

Salary: $27 - $37 per hour

Company

Financial services platform focused on democratizing finance for all.

What you will do

• Manage regulatory filings for FINRA Members, including Forms U-4, U-5, and NRF.
• Ensure Associated Person employee files comply with SEC Rule 17a-3(a)(12).
• Coordinate new hire onboarding with the People Team, including fingerprinting and background checks.
• Develop and implement process improvements to increase the scalability of registration processes.
• Provide guidance and support to Registered and Associated Persons regarding licensing.
• Maintain Standard Operating Procedure (SOP) documentation and internal resources.

Requirements

• Bachelor’s Degree in a related field.
• 2+ years of experience in Compliance, Customer Experience, or Brokerage functions.
• Must be based in the USA (specifically Denver, CO, Westlake, TX, or Lake Mary, FL).
• Strong analytical skills and high attention to detail.
• Ability to work independently as a self-starter.

Nice to have

• Strong understanding of FINRA Registration and Rules.
• FINRA Licensing.
• Proficiency with Superset and familiarity with FINRA CRD.

Culture & Benefits

• Performance-driven compensation, bonus programs, and equity ownership.
• 401(k) matching and 100% paid health insurance for employees.
• Lifestyle wallet for wellness, learning, and more.
• Employer-paid life, disability, fertility, and mental health benefits.
• Exceptional office experience with catered meals and events.