Principal Associate Compliance

📋 Description

• Support the execution and continuous improvement of the broker-dealer compliance program, including
• Review and address daily alerts related to Know Your Customer (KYC), Customer Identification
• Maintain and update written supervisory procedures, surveillance frameworks, compliance testing
• Monitor compliance risks and challenge the timely reporting, escalation, and remediation of
• Coordinate with compliance leadership to prepare the annual CEO certification report under FINRA
• Review marketing materials, sales collateral, social media content, and other business

🎯 Requirements

• At least 5 years of proven experience in a retail fintech broker-dealer compliance department
• Active Series 7 and Series 24 qualifications, with the ability to obtain any additional required
• Comprehensive understanding of broker-dealer regulations, including applicable FINRA, SEC, and
• Previous experience implementing, administering, or enhancing a broker-dealer compliance program
• Familiarity with KYC, CIP, customer suitability, PEP screening, sanctions controls, and related
• Experience reviewing marketing and sales materials, electronic communications, social media

🎁 Benefits

• Target annual base salary range of $83,400–$166,800, depending on experience, skills
• Eligibility for bonus incentives and equity-based compensation, subject to applicable program terms.
• Medical, dental, and vision benefits for eligible U.S. employees.
• Access to a 401(k) retirement plan.
• Additional support for eligible wellness-related expenses.
• Fully remote position based in the United States.