We are a new broker dealer startup (pre-launch). The position is suitable for an enthusiastic individual wishing to help build a lean startup from the ground up with the upside of founder equity participation. You will have principal responsibility for managing the compliance efforts for the Company as they relate to regulatory and policy requirements with the SEC and FINRA. You will be analyzing existing processes and procedure to ensure compliance with existing and proposed legislation, regulatory announcements, and industry practices for compliance requirements. You will help us develop and implement procedures to meet these requirements; as well as validating controls or project plans to ensure compliance with laws, rules and regulations.

The “Must Haves…” (Capabilities & Qualifications):

• BA/BS, MBA or professional certification preferred.

• Series 7 and 24 required.

• 3-5 years relevant product/financial services compliance experience preferred.

• Thorough knowledge of Financial Services rules and regulations.

• Demonstrated problem solving and analytical ability, and strong oral and written communication skills.

• an enthusiastic approach to work and the ability to proactively own and resolve issues.

• excellent interpersonal skills and the ability to maintain good relations with a wide variety of people at all levels.

• the ability to focus on the right activity at the right time.

• an understanding and appreciation of ethics, confidentiality and relationship issues in general, and their application in the wider context of the investment banking industry.

Salary and compensation

$80,000 — $99,000/year

Equity

0.5 – 1.0