Compliance Manager

Financial Technology Partners•New York, NY

About The Position

Financial Technology Partners (FT Partners), an investment banking firm focused exclusively on financial technology, is seeking a Compliance Manager. The role is responsible for overseeing and executing FINRA, SEC, FCA, and related regulatory compliance. The Compliance Manager should have a strong working knowledge of FINRA and SEC frameworks, stay current on regulatory developments relevant to the firm's business model, and advise firm management on strategic decisions. The role includes day-to-day monitoring of employee and business compliance matters and designing and tailoring a compliance program to meet the firm's evolving needs. It also involves communicating regulatory requirements, delivering training, maintaining compliance policies and procedures, and collaborating effectively across internal and external teams.

Requirements

At least 4 years of FINRA and SEC compliance experience; investment banking or private equity experience is preferred.
FINRA Series 7 and Series 24 licenses are strongly preferred, or the ability to obtain them within a short period.
Good knowledge of FINRA regulations and applicable regulatory requirements and expectations related to investment banking and broker-dealer activities.
Working knowledge of federal and state laws and regulations applicable to investment banking, including general knowledge of SEC regulatory requirements and framework.
Experience with FINRA Gateway, including U4s and U5s, Form BD, CMA, and ad hoc regulatory inquiries.
Experience writing and maintaining firm policies and procedures, including Written Supervisory Procedures.
Understanding and experience executing KYC/AML/CIP checks and handling the compliance areas described in the role.
Public speaking and live training experience, with the ability to tailor training materials to the firm and regulatory landscape.
Exceptional written and verbal communication skills.
Ability to perform under pressure amid tight deadlines and effectively prioritize and plan.
Collaborative approach across teams and levels, internally and externally; integrity, ethical conduct, reliability, and commitment to firm values.
Four-year college degree required.
U.S. work authorization.

Nice To Haves

Experience in investment banking or private equity.
FINRA Series 7 and Series 24 licenses.
Experience with FINRA Rule 2241 regarding equity research.
Familiarity with compliance systems and platforms such as DocuSign, Smarsh, ComplySci, and Dow Jones Risk Center.
Knowledge of FCA and EU regulatory requirements.
Juris Doctor degree.

Responsibilities

Oversee and execute FINRA, SEC, FCA, and related regulatory compliance.
Monitor employee and business compliance matters on a day-to-day basis.
Keep abreast of regulatory developments relevant to the firm's business model and advise firm management on strategic decision-making.
Design and tailor a compliance program to meet the firm's evolving compliance needs.
Articulate regulatory requirements to employees at all levels.
Handle FINRA Gateway matters, including U4s and U5s, Form BD, CMA, and ad hoc regulatory inquiries.
Write and maintain firm policies and procedures, including Written Supervisory Procedures.
Execute KYC/AML/CIP checks and oversee sanctions and Treasury requirements, employee personal investments and outside business activities, electronic communications surveillance and management, books and records, regular compliance testing, and FINRA Rule 3130 certification.
Prepare and deliver public speaking and live training, tailoring materials to the firm and regulatory landscape.
Prepare high-impact written materials in multiple formats and participate effectively in internal and external meetings.