Compliance Manager (LA, NYC or Remote US) at Albert
Things you're good at
- Ownership: Dive in and take ownership of researching and providing guidance to stakeholders on regulatory and legal requirements.
- Organization: Work across various layers of our company in an inspired, efficient way. Provide hands-on remediation guidance to teams across the organization.
- Prioritization: Communicate priorities and drive consensus on the path forward. Identify, prioritize, and promote compliance practices that create the most impact in reducing overall regulatory risk.
- Collaboration: This role should seek to influence the design and implementation of compliance policies and procedures with upcoming products and services in mind.
- Assist with development and implementation of policies and procedures to ensure compliance with state, federal, SEC, FINRA, and other applicable regulatory agencies
- Assist with marketing and advertising review for investment and banking products
- Assist with FINRA and SEC required correspondence review
- Assist in conducting reviews and audits of the internal compliance policies and procedures
- Provide support and training to FINRA and SEC registered customer service staff
- Assist with FINRA, SEC, and BSA related regulatory filings and reporting
- Track legal and regulatory developments impacting Albert’s products and services
- Assist with responding to customer complaints
- Assist with ad-hoc legal, operational, and regulatory projects
- Minimum 5 years of experience in FINRA broker-dealer and SEC RIA compliance roles
- In-depth knowledge of FINRA marketing and advertising rules
- Experience with supervising FINRA registered representatives and SEC-registered advisers
- Experience with creating and implementing compliance policies and procedures
- Life and P&C insurance licenses a plus
- BSA and banking compliance experience a plus
- FINRA Series 7, 24, 66 (or 63 and 65) are preferred
- Competitive salary and meaningful equity
- Health, vision and dental insurance
- 401k match
- Free lunch