Regulatory Compliance Manager (Fintech)

TL;DR

Regulatory Compliance Manager (Fintech): Managing marketing and product compliance for an AI-powered wealth management platform with an accent on SEC and FINRA regulatory standards. Focus on enabling scalable approvals for client-facing experiences, maintaining books-and-records practices, and translating complex rules into actionable guidance.

Location: On-site in McLean, VA. Relocation is possible for the right candidate.

Company

An AI-powered wealth management platform backed by Gradient Ventures, Cathay Innovation, and Scale Venture Partners.

What you will do

• Run the day-to-day marketing and advertising compliance program under SEC Marketing Rule and FINRA standards.
• Own compliance enablement for client-facing products, reviewing features, disclosures, and user flows.
• Provide compliance reviews for video and long-form content, including webinars and advertising.
• Maintain and evolve books-and-records practices related to advertising and client communications.
• Serve as the SME for advertising compliance, creating templates and training for partner teams.
• Promote exam and audit readiness through consistent record keeping and documentation.

Requirements

• Experience in regulatory compliance within investment advisory, fintech, or financial services.
• Strong working knowledge of SEC Marketing Rule and FINRA communications standards.
• Ability to partner cross-functionally with product, marketing, and engineering teams.
• Series 7 and Series 24 certifications are required.
• Must be based in or able to relocate to McLean, VA for a full-time in-office schedule.

Nice to have

• Experience supporting regulatory exams, audits, or inquiries.
• Familiarity with compliance tools for advertising review and books-and-records management.

Culture & Benefits

• 100% employer-covered medical insurance for employees, plus dental and vision.
• 401(k) retirement savings program.
• Paid time off and most federal holidays.
• Comprehensive parental leave and monthly fitness stipend.
• Equity with early exercise eligibility and annual compensation reviews.
• Boomerang Program allowing employees to leave for 2 years to start a company and return to their spot.