Compliance Associate

Job Description

• Review and approve all marketing content and product changes to ensure compliance with all relevant regulatory requirements, including but not limited to SEC and FINRA regulations • "Problem-solve" with the marketing and product teams to accomplish objectives while remaining compliant • Develop, implement, and maintain policies and procedures to ensure compliance with applicable laws, rules, and regulations • Prepare and deliver compliance training programs and materials • Oversee employee activity in accordance with the company’s policies and procedures • Assist with regulatory inquiries or examinations • Maintain accurate and up-to-date compliance records including but not limited to regulatory filings, policies and procedures, client communications, marketing and advertising materials, and evidence of advisory oversight • Assist with the development and evolution of the company’s compliance program

Qualifications

• Bachelor's degree in finance, law, or related field • 3+ years of experience in compliance, preferably in a fintech company • Strong understanding and practical experience with FINRA and SEC regulations (emphasis on the Investment Advisers Act of 1940, including the SEC Marketing Rule) • Excellent attention to detail and ability to identify and analyze regulatory risks • Inquisitive nature, with experience evaluating complex data sets and calculations • Strong written and verbal communication skills • Outstanding interpersonal skills • Experience successfully navigating cross departmental relationships and initiatives • Business-minded, capable of balancing compliance risk with business objectives

Benefits

• Daily catered lunches • Free admission to art museums and galleries • Health, dental, and vision coverage with FSA options • PTO and 401k • Discounted Equinox membership • Happy hours, company outings, social clubs, and more!