- 4-8 years of relevant compliance experience with a broker-dealer
- Passed the Series 24 General Securities Principal exam or willing to complete it soon after hire
- Strong knowledge of the Securities Exchange Act of 1934, as amended, SEC broker-dealer regulations and FINRA regulations and interpretations
- JD is a plus but not required
- Prior fintech experience is a plus
- Able to meet both internal and regulatory deadlines
- Strong interpersonal and leadership skills
- Willingness to learn new topics and work in an evolving business environment
- High level of integrity
- Organized and detailed-oriented with big picture capability
- Proficient in MS Excel and Word
- The base salary range for this role is $100,000 to $140,000.
- This firm offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus.
- Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
- The firm offers most employees the flexibility to work in the office three to four days and remotely for the remainder of the week. Every department has different needs, and some positions will be designated in-office jobs, based on their function.