Related skills
kyc aml finra broker-dealer regulatory compliance📋 Description
- Implement KYC/AML and onboarding processes.
- Manage registered rep oversight: registrations, exams, surveillance.
- Test and modify policies to meet securities laws.
- Maintain internal compliance resources and guidance.
- Draft FAQs and compliance bulletins on regulatory changes.
- Prepare regulatory reporting and filings.
🎯 Requirements
- 3+ years compliance, risk, or audit in broker-dealer or adviser.
- Strong familiarity with securities markets.
- Creative problem solving for regulatory requirements.
- Agile team enabling pragmatic guidance to fast-moving teams.
- Track record of sound judgment under pressure.
- FINRA Series 7 and 24.
🎁 Benefits
- Competitive salary and equity options.
- Employer-paid health and dental premiums.
- Vancouver HQ desk with onsite gym and rooftop.
- $20/day commuter benefit.
- Social events and team retreats.
- Growth opportunities and sponsorship/relocation.
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