Compliance Senior Specialist (Fintech)

TL;DR

Compliance Senior Specialist (Fintech): Developing and operationalizing the regulatory framework for a new digital-first investment advisory business with an accent on SEC/FINRA compliance and supervisory policies. Focus on implementing controls, conducting risk assessments, and ensuring a regulatorily compliant launch of advisory services.

Location: Must be based in one of the following US offices: New York, Chicago, Westlake, Denver, or Menlo Park; in-person attendance expected at least 3 days per week.

Salary: $89,000 – $135,000 USD (depending on location)

Company

A digital-first investment advisor aiming to democratize finance for all through innovative technology and financial planning services.

What you will do

• Develop and operationalize the regulatory framework and supervisory policies for new business activities.
• Act as a primary resource for operations, customer service, and business teams across affiliated companies.
• Conduct testing, surveillance, audits, and risk assessments to validate supervision and controls.
• Research and respond to regulatory inquiries, exams, audits, and client complaints.
• Identify compliance vulnerabilities and propose strategic solutions to mitigate risks.
• Build essential workflows for books and records testing and manage conflicts of interest.

Requirements

• 5-10 years of compliance experience with an investment adviser.
• Deep understanding of SEC Investment Advisers ‘40 Act and FINRA regulations.
• Strong written, verbal, and presentation skills for communicating with leadership and regulators.
• Exceptional organizational skills and ability to think critically to solve problems.
• Ability to thrive in an entrepreneurial, fast-paced environment.

Culture & Benefits

• Performance-driven compensation including bonus programs and equity ownership.
• Comprehensive benefits with 100% paid health insurance for employees and 401(k) matching.
• Flexible "Lifestyle wallet" account for wellness, learning, and personal growth.
• Generous time off including company holidays, paid time off, sick time, and parental leave.
• Premium office experience featuring catered meals, events, and collaborative workspaces.