Related skills
security finra operations trade surveillance regulatory compliance📋 Description
- Support compliance for FINRA broker-dealer and SEC adviser
- Serve as SME for clearing-related compliance matters
- Conduct trade surveillance and monitoring on the platform
- Own the Insider Trading Policy and employee trading surveillance
- Lead customer complaint lifecycle and regulatory filings
- Partner across functions on new clearing product initiatives and risk guardrails
🎯 Requirements
- 7+ years of hands-on compliance at a FINRA-member broker-dealer with deep clearing operations knowledge
- Active Series 7 and Series 24; Series 4 within 90 days
- BA/BS degree in relevant field
- Strong FINRA and SEC rules knowledge with pragmatic application
- Tech-savvy and able to pick up modern tech stacks
- Excellent communication and cross-functional collaboration across compliance, operations, product, and engineering
🎁 Benefits
- Hybrid work schedule for most positions
- Offices in Culver City, SF, and Dallas
- Competitive pay and equity for eligible positions
- Premium healthcare, dental, and vision insurance
- 401k with 4% match and immediate vesting
- 16 weeks paid parental leave
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