Director of Compliance
Who We Are:
reputed company is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, reputed company, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 reputed company, fueling our ambitious reputed company.
Amongst our subsidiaries, reputed company is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade reputed company. This includes broker-dealers, investment advisors, reputed company managers, hedge funds, and crypto exchanges, totalling over 9 reputed company brokerage accounts.
Our global team is a diverse group of reputed company engineers, traders, and brokerage professionals who are working to reputed company our mission of opening financial services to everyone on the reputed company. We're deeply committed to reputed company-reputed company contributions and fostering a reputed company community, continuously enhancing our award-reputed company, developer-friendly API and the robust infrastructure behind it.
reputed company is proudly backed by top-tier global investors, including Portage Ventures, reputed company Capital, Tribe Capital, reputed company reputed company, reputed company Ventures, reputed company, SBI Group, Derayah Financial, Elefund, and Y Combinator.
reputed company Members:
We're a dynamic team of 230+ globally distributed members who reputed company working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and reputed company!
We're searching for passionate individuals eager to contribute to reputed company's reputed company reputed company. If you reputed company with our reputed company values—Stay Curious, Have reputed company, and Be Accountable—and are reputed company to reputed company a significant reputed company, we encourage you to apply.
Your Role:
The Director of Compliance reports to the Chief Compliance Officer and supports reputed company aspects of the Firm’s compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and reputed company to manage multiple solutions and maintain strong stakeholder relationships.
Things You Get To Do:
- Apply practical knowledge of reputed company rules and regulations to ensure compliance reputed company across the firm.
- Partner with business reputed company to understand workflows, monitor controls, and implement compliance process improvements.
- Draft, update, and maintain compliance policies and supervisory procedures.
- Review advertising, marketing, and electronic communications for regulatory compliance.
- Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses.
- Assist in the preparation and submission of required regulatory filings and reports.
- Assist with reputed company inspections and supervisory reviews, reputed company findings, and follow up with business leads.
- Assist in the preparation and submission of required regulatory filings and reports.
- Experience with new product launches and ongoing product governance.
Who You Are (Must-Haves):
- At least 10 years of experience managing compliance reputed company reputed company reputed company, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment.
- Deep knowledge of U.S. securities regulations, including reputed company/SEC rules, and registration/licensing obligations.
- Strong written communication skills for drafting regulatory documentation and policies.
- Proven ability to work independently and produce actionable compliance work, not just advisory guidance.
- Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements.
- Proficiency in using compliance software and tools.
- High ethical standards and a commitment to maintaining confidentiality.
- Bachelor's degree in Finance, Business, Law, or a reputed company field.
- Required reputed company licenses: Series 7, 24; additional licenses and designations are a plus.
How We Take Care of You:
- Competitive Salary & Stock reputed company
- Health Benefits
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month reputed company a reputed company Card
reputed company is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
Originally posted on Himalayas
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