Principal Associate Compliance

📋 Description

• Assist in the execution of the Broker Dealer compliance and risk assessment programs.
• Overseeing, addressing and remediating daily flags in KYC, CIP, Suitability, PEP, Sanctions, and
• Oversee and update the written supervisory procedures, surveillance program, testing programs, and
• Monitor and challenge the reporting, escalation, and timely remediation of issues, deficiencies, or
• Prepare and coordinate the Annual CEO Certification report as specified in FINRA Rule 3130 and
• Assist with assessment of external regulatory activity and changes in laws and regulations

🎯 Requirements

• Series 7 and 24 qualifications and the ability to obtain others quickly.
• Minimum of 5 years proven experience in a retail fintech Broker Dealer compliance department and
• Comprehensive understanding of applicable laws, regulations and requirements, including industry
• Previous experience implementing a Broker Dealer compliance program.
• Ability to think intuitively and strategically.
• Problem solver and quick thinker.

🎁 Benefits

• Work from anywhere (Remote)
• Learn and grow with the company
• Equal opportunity employer