About the Role
The Director of Compliance reports to the Chief Compliance Officer and plays a central role in maintaining and advancing the firm’s compliance program. This individual collaborates across departments to ensure compliance initiatives are effectively implemented and aligned with business operations, requiring strong organizational skills, initiative, and stakeholder engagement.
Responsibilities
- Apply in-depth understanding of FINRA regulations to maintain firm-wide compliance oversight.
- Collaborate with business teams to assess operational workflows, evaluate controls, and enhance compliance processes.
- Create, revise, and manage compliance policies and supervisory frameworks.
- Evaluate advertising materials, marketing content, and digital communications for adherence to regulatory standards.
- Support responses to regulatory audits, investigations, and information requests by collecting data and preparing documentation.
- Help prepare and file mandatory regulatory reports and submissions.
- Participate in branch audits and supervisory evaluations, document outcomes, and coordinate corrective actions.
- Contribute to the filing of required regulatory disclosures and periodic reports.
- Engage in compliance oversight for new product development and sustained product governance.
Requirements
- Minimum of 10 years managing compliance in FINRA, SEC, and OCC-regulated environments, ideally within broker-dealers or clearing firms.
- Extensive familiarity with U.S. securities laws, including FINRA and SEC regulations, and licensing requirements.
- Excellent written communication abilities for developing policies and regulatory materials.
- Demonstrated capacity to work autonomously and deliver practical compliance outcomes.
- Ability to adapt and perform in a fast-moving, international setting with shifting regulatory demands.
- Experience using compliance technology and software platforms.
- Strong ethical judgment and dedication to confidentiality.
- Bachelor’s degree in Finance, Business, Law, or a related discipline.
- Mandatory FINRA licenses: Series 7 and Series 24; additional credentials are advantageous.
Benefits
- Health Benefits
- One-time $500 stipend for home office setup
- Monthly $150 stipend via Brex Card
- Comprehensive benefits package supporting employee well-being
Compensation
Competitive Salary & Stock Options
Work Arrangement
Globally distributed team; remote work across multiple countries
Team
Team of 230+ members spread across the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and other regions
Who We Are
- The company is a U.S.-based self-clearing broker-dealer offering brokerage infrastructure for equities, ETFs, options, crypto, fixed income, and 24/5 trading. It has raised over $170 million in funding, including a recent Series C round, to support its growth.
- It operates as a licensed financial services provider with subsidiaries serving hundreds of institutions across 40 countries via robust APIs. Clients include broker-dealers, wealth managers, hedge funds, and crypto exchanges, managing over 6 million brokerage accounts.
- Its global workforce consists of engineers, traders, and financial professionals committed to democratizing access to financial services. The company actively contributes to open-source projects and maintains a developer-first API platform.
- It is backed by leading global investors such as Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.
Our Team Members
- The organization comprises over 230 globally distributed employees working remotely from locations including the USA, Canada, Japan, Hungary, Nigeria, Brazil, and the UK.
- It seeks driven individuals who embody core values of curiosity, empathy, and accountability to support its rapid expansion.
Things You Get To Do
- Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm.
- Partner with business units to understand workflows, monitor controls, and implement compliance process improvements.
- Draft, update, and maintain compliance policies and supervisory procedures.
- Review advertising, marketing, and electronic communications for regulatory compliance.
- Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses.
- Assist in the preparation and submission of required regulatory filings and reports.
- Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads.
- Assist in the preparation and submission of required regulatory filings and reports.
- Experience with new product launches and ongoing product governance.
Who You Are (Must-Haves)
- At least 10 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment.
- Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations.
- Strong written communication skills for drafting regulatory documentation and policies.
- Proven ability to work independently and produce actionable compliance work, not just advisory guidance.
- Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements.
- Proficiency in using compliance software and tools.
- High ethical standards and a commitment to maintaining confidentiality.
- Bachelor's degree in Finance, Business, Law, or a related field.
- Required FINRA licenses: Series 7, 24; additional licenses and designations are a plus.
How We Take Care of You
- Competitive Salary & Stock Options
- Health Benefits
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month via a Brex Card
Other
The company is an equal opportunity employer committed to building a diverse workforce.
Not specified
