Compliance Associate
Core
Scaling and maintaining compliance and regulatory infrastructure for a secondary market platform for venture-backed companies.
Role type
Senior IC compliance associate
Builds
Regulatory reporting, internal compliance resources, and training programs
Domain
Financial services / Securities markets / Private investments
Deliverable
dashboards & analysis
Required skills
Transaction monitoring, registered representative oversight, policy testing, regulatory reporting, compliance training, securities law knowledge
Preferred skills
Dual-registered (broker-dealer/investment adviser) experience, cross-border (US/Canada) compliance, FINRA Series 7 and 24, private investments structuring
Technologies
N/A
Responsibilities
Conduct daily transaction monitoring reviews and escalate exceptions; Manage registered representative oversight including registrations and correspondence surveillance; Test and modify policies for securities law compliance; Prepare regulatory filings; Monitor regulatory landscape developments; Develop and deliver compliance training; Support regulatory exams.
Seniority
Mid-level, hands-on IC