- Assist in the development, implementation, and maintenance of the broker-dealer and payments compliance programs, including policies, procedures, systems monitoring, technology, and training
- Provide appropriate support, advice, and training to relevant front-office and operational personnel with respect to FINRA and SEC rules and regulations, licensing requirements, supervision, and other compliance-related issues
- Review and maintain the Firm's Written and Supervisory Procedures (WSP's)
- Assist in the management of internal and external regulatory examinations, audits, inquiries, and similar reviews in relation to the broker-dealer and payments' business activities
- Identify current and emerging regulatory risks, implement risk mitigation plans, and provide reports to the Senior Director of Regulatory Compliance and key senior management
- Work with compliance, internal and external legal counsel to adapt to regulatory developments or address the compliance implications of new business products and services
- Investigate, develop, and implement appropriate action plans in response to regulatory, testing, or audit findings
- Review and approve marketing materials and other public communications related to the broker-dealer.
- 5+ years of compliance experience in a compliance department of a registered broker-dealer
- Extensive knowledge of SEC and FINRA rules
- Excellent written and verbal communication skills and interpersonal skills to work effectively with internal and external stakeholders
- Detail-oriented, accurate, organized, and able to set priorities
- Ability to multi-task and adapt to shifting priorities in a fast-paced environment
- Series 7, 24
- Knowledge and experience within the Financial Technology ("FinTech") industry
- Experience building a broker-dealer program from scratch
- Experience leading or playing an active role in regulatory audits
- Experience with ACH, Wire and Check compliance
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Compliance Manager - Remote, United States - Brex
Description
Why join us
Brex empowers the next generation of businesses with an integrated corporate card and spend management software. We make it easy for our customers to manage every aspect of spending and empower their employees to make better financial decisions from anywhere they live or work. Brex proudly serves tens of thousands of growing businesses, from early-stage startups to global enterprises.
Working at Brex allows you to push your limits, challenge the status quo, and collaborate with some of the brightest minds in the industry. We're committed to building a diverse team and inclusive culture and believe your potential should only be limited by how big you can dream. We make this a reality by empowering you with the tools, resources, and support you need to grow your career.
Compliance at Brex
The Compliance team helps the company grow responsibly, advocating for Brex and for the tens of thousands of growing businesses we serve. We own the compliance policies for Brex, provide strategic advice and guidance to all Brex teams, protect Brex from financial crime and other compliance risks, and represent the company externally on key regulatory and policy issues. Reimagining the financial system in a highly regulated environment requires creativity and resourcefulness, and we welcome the challenge.
What you'll do
As the Compliance Manager at Brex, you will play a critical role in developing, implementing, and maintaining the broker-dealer compliance program. You will also provide support for the payments compliance program as needed. The role will report directly to the Chief Compliance Officer of Brex Treasury.
Responsibilities
Requirements
Bonus Points
Knowledge of money transmission laws
Please be aware, job-seekers may be at risk of targeting by malicious actors looking for personal data. Brex recruiters will only reach out via LinkedIn or email with a domain. Any outreach claiming to be from Brex via other sources should be ignored.
