Compliance Officer
About The Position
About Frec: Our mission is to help create enduring wealth. To do this, we don't promise shortcuts or magic strategies. We respect the realities of investing as it actually works, and challenge the long-standing assumption that returns and taxes belong in separate conversations. By building tax-aware investment tools once reserved for the ultra-wealthy, Frec empowers investors to hold onto more of what they earn. In the last year, Frec has been growing exponentially – 50% QoQ growth with over $1B+ in customer assets. We raised our Series A with Greylock Partners and have an impressive list of other funds and angel investors backing our company. If you’re looking to join a fast-growing team with high potential, Frec could be the place for you. Learn more about Frec as a company at www.frec.com. Please visit frec.com to learn more about us. The role: The Compliance Officer is an integral member of Frec's small but growing compliance function, reporting directly to the Chief Compliance Officer. This role sits at the intersection of day-to-day operational compliance and regulatory integrity, supporting both our Broker-Dealer and Registered Investment Adviser entities. In this role, you'll be hands-on from day one, reviewing and approving marketing and advertising materials to ensure alignment with FINRA Rule 2210 and SEC 206(4)-1 standards, and supporting the new account opening process to ensure proper documentation, suitability, and regulatory requirements are met. You'll work closely with the CCO to help maintain a compliance program that is thorough, defensible, and scalable as Frec grows. Since we're a growing team, we need someone who takes ownership, pays attention to the details, and understands what it means to operate in a regulated financial services environment where getting it right matters.
Requirements
- FINRA Licenses: SIE, Series 7 & 24 (active and in good standing)
- 4-7 years experience, preferably at a fintech/wealthtech
- Proficient with using brokerage platforms and Microsoft Office suite (Word and Excel)
- Ability to work in a fast-paced, changing environment
- An attention to detail and solution oriented thinking
- Excellent communication and interpersonal skills
Nice To Haves
- Degree from an accredited university or significant relevant experience preferred
Responsibilities
- Review and approve marketing, advertising, and client-facing materials for FINRA and SEC compliance using Hadrius tool
- Assist with quarterly employee personal trading, OBA, and gifts and entertainment review
- Support the new account opening process, ensuring all documentation and regulatory requirements are satisfied
- Assist with cash transfer review and SARS filings
- Assist in maintaining and updating Written Supervisory Procedures (WSPs) and compliance policies
- Help monitor for regulatory developments and assess their impact on Frec's BD and RIA programs
- Partner with the CCO on exam readiness and regulatory inquiries
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
