The Company

Our client is a fast-growing FinTech company in an exciting space. They are a FINRA member broker dealer and offers an SEC registered ATS trading platform.

What’s going on

We are actively recruiting for a Director of Compliance to support the building out of their private placement offerings platform as well as ongoing business expansion plans. The Director of Compliance will be deeply involved in building, establishing and maintaining processes, systems and infrastructure to comply with its regulatory obligations.

Here’s what we need in an applicant to succeed in the role

  • Candidates should have knowledge and experience handling Reg D, Reg A+, Reg S and Reg CF on primary issuance and secondary trading. 
  • Have strong AML experience, covering BSA, Patriot Act, OFAC and FATF rules, regulations, and guidelines.
  • Possess deep understanding of FINRA marketing regulations, and experience dealing with FINRA Advertising Dept.
  • Helpful to understand broker dealer operational requirements, especially with trading platforms/ATS.
  • Trade reporting, OATS/CAT, trading surveillance.
  • Digital Asset experience important but not required. Knowledge of tokenization and smart contracts helpful/nice to have.
  • Must be a self-starter who enjoys working in fast paced start up environments; capable of interacting with many internal constituents who are geographically dispersed; including Engineering and Product, Marketing, Operations, and Sales. In addition, the person will interact with the firms affiliated regulated entity – an SEC registered Transfer Agent.
  • The individual should have minimum 5 years’ experience at a financial services firm, preferably a broker dealer/ ATS. Registration’s series 7, 63, 24, 79.
  • Most important character trait to achieve success at the organization is an insatiable intellectual curiosity and willingness to roll up sleeves and find practical ways to enhance the business within regulatory confines.

Send Resumes to Jack Kelly: jack@compliancesearch.com

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