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Compliance Manager (Open to Remote)

Please do not apply if you do not have at least 5+ years of experience at a securities regulator (i.e. FINRA/SEC), a regulatory consulting firm, and/or or in-house at a broker-dealer or financial technology company.

SeedInvest is seeking to hire a Compliance Manager to join our Legal & Compliance team. This is a salaried, full-time role, and is open to being remote. We’re looking for a bright and passionate individual who will dive head-first into the execution of various compliance-related management and operations. Our ideal candidate will already have significant expertise in the regulatory space and experience creating scalable processes and procedures to improve broker-dealer compliance functions.

 

You'll be leading the charge on (overarching goals):

  • Building out and managing our compliance program for existing product lines as well as new ones
  • Overseeing and executing on day-to-day compliance operations, as well as improving processes for scale
  • Advising on and protecting against both operational and regulatory compliance risks

 

You'll be responsible for (representative responsibilities):

  • Ensuring firm-wide compliance with FINRA, SEC, BSA, Patriot Act, OFAC, FATF, and FinCen rules, regulations, and guidelines
  • Serving as the Firm’s lead for regulatory examinations and inquiries
  • Managing and completing the Firm’s regulatory reporting obligations, including routine filings (e.g. Form BD, Form U4, Form U5, Rule 5123, customer complaints, etc.)
  • Ensuring the timely completion of quarterly and annual reviews (e.g. e-mail reviews, AML audits, CIP audits, readiness reviews, etc.)
  • Conducting annual firm-wide and new-hire compliance trainings
  • Preparing and distributing annual customer notices
  • Maintaining and updating the Firm’s books and records
  • Responding to escalation requests for AML, KYC, suitability, and accreditation verification related issues
  • Conducting Principal reviews and approvals of deal files, retail communications, accreditation verifications, deal closings, transfers, etc.
  • Overseeing the filing of applications for new product lines or changes in business activity
  • Regularly reviewing and updating the Firm’s policies and procedures (e.g. WSP, AML, BCP, etc.)

 

You should already have or be amazing at (the requirements):

  • Ability to communicate clearly and concisely with regulators and senior management
  • Comfortable speaking with both clients and customers, as well as working closely with our CX team on customer related issues
  • The English language, both written and spoken
  • Attention to detail and obsession with documentation and note-taking
  • Minimum of 5-7+ years of experience at a securities regulator (i.e. FINRA/SEC), a regulatory consulting firm, and/or or in-house at a broker-dealer or financial technology company
  • Series 24 license (if not, you will be expected to obtain this within 3-6 months of employment)
  • Current with regulations and compliance issues
  • Extreme bias for action; you do what it takes but always with utmost integrity
  • Proven ability to excel in a fast-paced environment
  • Passion for SeedInvest’s mission

 

Extra awesome (other items we look for):

  • Fintech or startup experience
  • Experience with private/startup investing and/or fundraising
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