Compliance Manager

Percent•New York, NY

10d•$125,000 - $150,000•Hybrid

About The Position

We are seeking a Compliance Manager to join our Compliance Team and help administer and enhance our company’s Broker Dealer compliance program. In this role, you will work closely with the Chief Compliance Officer and play an integral part in the day-to-day execution and ongoing evolution of the Broker Dealer compliance framework. Your responsibilities will span a wide range of regulatory matters, with particular focus on private placements conducted pursuant to Regulation D and Regulation S. You will assist in drafting, maintaining, and testing written supervisory procedures and compliance policies, supporting regulatory filings and reporting obligations, and ensuring accurate record retention and employee training across the organization. The Compliance Manager will review marketing materials, internal and external communications, and new product initiatives to ensure consistency with SEC and FINRA requirements. You will monitor employee adherence to internal policies, partner with the Chief Compliance Officer on key compliance initiatives, and support the firm’s continuing membership application efforts, including expansion of Broker Dealer services such as Alternative Trading Systems (ATS). The ideal candidate brings at least five years of relevant experience, preferably within a broker dealer environment, and demonstrates a strong working knowledge of FINRA rules and regulations. Experience with alternative investments, private placements, and/or Reg. D offerings is essential, with prior exposure to FinTech platforms, ATS operations, and/or SOC compliance viewed favorably. This role requires a high level of integrity, strong judgment, and the ability to thrive in a fast-paced, evolving business environment. Successful candidates will possess excellent written and verbal communication skills, a keen attention to detail, and the ability to work both independently and collaboratively across teams. This is a unique opportunity to join a high-growth FinTech firm at an inflection point and play a meaningful role in building and scaling a best-in-class compliance program that supports innovation while meeting the highest regulatory standards.

Requirements

At least 5 years of experience, preferably with broker dealer experience
Knowledge of FINRA Rules and Regulations
Series 7 and 24 license or willingness to obtain them shortly after joining
Experience with alternative investments and understanding of private placements pursuant to Reg. D
High level of integrity
Thorough understanding of applicable laws and regulations and a willingness to learn new topics and work in an evolving business environment
Excellent written and verbal communication skills and an attention to detail
Ability to work both independently and collaborate with others

Nice To Haves

Prior FinTech experience is desirable
Prior experience with Alternative Trading Systems (ATS)
Prior experience with Service Organization Controls (SOC) Compliance

Responsibilities

Assist in all aspects of the Broker Dealer compliance framework, including drafting written policies and procedures, testing, reporting, record retention, and employee training
Assist in preparation of regulatory filings including Regulation D Offerings
Review of new product marketing materials consistent with SEC and FINRA guidelines
Review Firm communications both internal and external
Monitor and maintain employee compliance with internal policies and procedures
Partner with the Chief Compliance Officer in setting key compliance initiatives, executing on all aspects of the compliance program
Assist in the continuing membership application (CMA) process for expansion of BD’s services including ATS
Monitor industry trends in the area of regulatory compliance, including regulatory developments in federal and state law, and in non-U.S. jurisdictions
Assist the Chief Compliance Officer with routine examinations and any communications with regulators