Related skills
fintech security finra licensing📋 Description
- Lead regulatory compliance programs for FINRA broker-dealer and SEC adviser.
- Partner on new product initiatives; set guardrails and risk determinations.
- Act as SME on product and marketing compliance under SEC and FINRA; advise teams.
- Oversee review of product communications across web and app.
- Lead employee compliance: licensing, registration, CE, onboarding.
- Support ad-hoc initiatives aligned with evolving business priorities.
🎯 Requirements
- 7+ years of hands-on compliance at a broker-dealer and investment adviser.
- FINRA and SEC rules knowledge with practical application.
- Series 7 and Series 24 required; Series 4 preferred or within 90 days.
- Bachelor's degree in a relevant field.
- Experience in fintech or high-growth financial services preferred.
- Strong communication, ownership, and problem-solving skills.
🎁 Benefits
- Hybrid work schedule for most positions.
- Offices in Culver City, SF, and Dallas.
- Premium health, dental, and vision insurance.
- 401k with 4% match and immediate vesting.
- 16-week paid parental leave.
- Professional growth including mobility program and annual L&D budget.
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