Head of Compliance

Location: New York City, New York
Interested in leaving behind the corporate culture and joining a seasoned Startup team, utilizing your expertise as Head of Compliance to navigate the unchartered territory of disrupting a massive segment in the Fintech space?  To improve your odds of learning what the founders are seeking, schedule a time here: https://calendly.com/jake-villarreal/calendar​

The Work:
Prepare our compliance requirements and build a world class compliance framework for the product we are brining to the financial markets. That includes: information security, data privacy, SEC rules, FINRA rules, internal controls, policies and procedures, SOC 1, GDPR, etc.

The Role: 
As Head of Compliance, you may be an attorney or compliance professional who has in-depth knowledge of securities regulation, data privacy and security, and risk management.  And has an entrepreneurial mind to help create a new category of regulatory and financial technology.  If you've always wanted a greenfield opportunity to be innovative in a tightly regulated industry you've found it:)

The most qualified candidates will have deep practical knowledge of applicable law and regulation and an extensive record of productive interaction with relevant regulators and industry participants.

Experience:
  • 10+ years of experience as a compliance Professional for a broker-dealer
  • Technical compliance expertise with getting new technologies approved for the use by Broker Dealers
  • Expert knowledge of FINRA
  • Expert knowledge of SEC Rules
  • Expert knowledge of SOC 1, internal controls
  • Deep knowledge of Data Security, Data Privacy and Cyber Security
  • Knowledgable and up-to-date on GDPR
  • Have had a title as Head of Compliance or similar role
  • Ability to collaborate effectively with founders, financial institutions and cross departmental employees.

 
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