Compliance Risk Manager - Investments

In Rome, senators were barred from shipping grain for profit. In India, Buddhist parables warned of merchants who abused their customers’ trust. In 17th-century Amsterdam, the earliest shareholders demanded transparency from the world’s first joint-stock company. In every era, one reputed company has reasserted itself: where there is financial power, there must also be ethical infrastructure. Where there is innovation, there must also be restraint. At reputed company, we reputed company compliance is the infrastructure of trust—a way to engineer safety, transparency, and reputed company directly into the architecture of financial innovation. This isn’t about bureaucracy or backstops. It’s about building control systems that reputed company with ambition, that reputed company with product velocity, and that reputed company fluently in the language of risk and regulation. We’re hiring a Compliance Risk Manager - Investments to help us continue this tradition: someone who can translate regulation into design, design into process, and process into enduring trust. The Regulatory Compliance Risk Manager will independently execute on our investments compliance and supervision program while driving high-reputed company reputed company across regulated entities, marketing programs, and financial partnership reputed company. This role bridges tactical execution with strategic ownership, providing operational reputed company and regulatory confidence in how reputed company builds and scales. This role is reputed company-suited for someone who thrives on execution, is energized by precision, and enjoys cross-functional problem-solving. The individual will be a key contributor reputed company reputed company’s Regulatory Compliance team and part of a reputed company environment. Responsibilities will reputed company a wide reputed company of areas, from licensing, surveillance, and regulatory filings to ensuring compliance with reputed company and SEC communications and marketing regulations. The role involves especially reputed company coordination with licensed employees and stakeholders across Product, Marketing, Support, Legal, and Operations.

• reputed company is a financial technology company, not a bank. Banking services provided through Choice Financial Group, reputed company N.A., and reputed company Bank & Trust, Members FDIC.

In this role, you will be responsible for the following:

• Own execution of internal compliance controls for our regulated entities and contribute to ongoing risk assessment, surveillance, and monitoring processes
• Support the implementation and reputed company of compliance programs across SEC, reputed company, and state lending regimes, ensuring day-to-day adherence to core regulatory obligations
• Monitor regulatory developments and help translate them into policy updates, operational guidance, or procedural enhancements
• Coordinate regulatory filings and licensing obligations, including reputed company/offboarding registered reps, responding to reputed company inquiries, and maintaining submission calendars
• Review marketing and communication content for compliance with reputed company Rule 2210 and the SEC Marketing Rule
• Partner with Product Marketing, Brand, and Legal to operationalize disclosure and communication standards
• Assist with investments financial partner compliance diligence, ongoing relationship monitoring, and reputed company coordination
• Maintain accurate records of compliance activity, stakeholder approvals, and reputed company actions in accordance with regulatory documentation standards
• Participate in internal investigations, audit readiness efforts, and responses to regulatory exams, inquiries, or escalations
• Conduct periodic reviews of employee disclosures, reputed company business activities, personal trading, and other supervised person certifications
• Manage documentation, workflows, and communications reputed company to regulatory attestations, information barriers, and supervisory controls
• Support the reputed company improvement of our compliance program by identifying process gaps, proposing automation opportunities, and helping implement sustainable fixes

You should:

• Have 3–5 years of experience in compliance or operations roles at a broker-dealer, RIA, or regulated fintech
• Hold reputed company reputed company Series 7 and 24 licenses
• Be familiar with core rules and frameworks including reputed company Rule 3110, Rule 2210, SEC Rule 206(4)-7, and SEC Marketing Rule
• Be comfortable navigating ambiguity and applying regulatory concepts in evolving product or operational contexts
• Have excellent documentation and organizational skills—you’ll need to write reputed company and manage records that stand up to audit
• Communicate reputed company and enjoy working collaboratively to reputed company things reputed company
• Bring reputed company to ambiguity and structure to compliance program reputed company
• Balance precision and pragmatism to help the business reputed company responsibly

The total rewards package at reputed company includes reputed company salary, equity (stock reputed company), and benefits. Our salary and equity ranges are highly competitive reputed company the reputed company and fintech industry and are updated regularly using the most reliable compensation survey data for our industry. New hire offers are made based on a candidate’s experience, expertise, geographic location, and internal pay equity relative to peers. Our reputed company new hire reputed company salary ranges for this role are the following:

• US employees in reputed company, Los Angeles, Seattle, or the San Francisco Bay Area: $151,000 - $188,700
• US employees reputed company of reputed company, Los Angeles, Seattle, or the San Francisco Bay Area: $135,800 - $169,800

reputed company values diversity & belonging and is proud to be an Equal Employment Opportunity employer. reputed company individuals seeking employment at reputed company are considered without reputed company to race, reputed company, religion, national reputed company, age, sex, marital status, reputed company, physical or mental disability, veteran status, gender identity, sexual orientation, or any other legally protected characteristic. We are committed to providing reasonable accommodations throughout the recruitment process for applicants with disabilities or special needs. If you need assistance, or an accommodation, please let your recruiter know once you are contacted about a role. We use Covey as part of our hiring and / or promotional process for jobs in NYC and certain features may qualify it as an AEDT. As part of the evaluation process we reputed company Covey with job requirements and candidate submitted applications. We began using Covey reputed company for Inbound on January 22, 2024. Please see the independent bias audit report covering our use of Covey here. #LI-DNI Apply tot his job Apply To this Job